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National General Certificate in

Occupational Health and Safety

Unit NG1: Management of health and safety

Version 3.0

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© Stockwell Safety

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© Stockwell Safety | National General Certificate Version 3.0

Contents Element 1: Why we should manage workplace health and safety ............................... 9

1.0 Learning Outcomes .................................................................................................... 10

Assessment criteria ........................................................................................................ 10

1.1 Morals and money ...................................................................................................... 11

Moral expectations of good standards of health and safety ................................... 11

Societal Expectations of Good Standards of Health and Safety .......................... 11

The financial cost of incidents (insured and uninsured costs). .................................. 12

1.2 The force of law – punishment and compensation ................................................. 15

Sources of law ............................................................................................................... 15

Statute law ................................................................................................................. 15

Common law ............................................................................................................. 15

Types of law ................................................................................................................... 15

Criminal law ............................................................................................................... 15

Civil law ...................................................................................................................... 15

Criminal Law Liabilities .................................................................................................. 16

Levels of statutory duty ............................................................................................. 18

Enforcement of health and safety ........................................................................... 19

Powers of Health and Safety Inspectors .................................................................. 21

The Corporate Manslaughter and Corporate Homicide Act 2007 ....................... 22

Defences to Criminal Charges ................................................................................. 23

Civil Law Liabilities ......................................................................................................... 23

Negligence ................................................................................................................ 24

Contributory Negligence .......................................................................................... 25

Vicarious Liability ........................................................................................................ 25

Tort of breach of statutory duty (TBSD) – New & Expectant Mothers .................... 26

1.3 The most important legal duties for employers and workers .................................. 27

Health and Safety at Work etc. Act 1974 ................................................................... 27

Section 2: General duties of employers to their employees .................................. 27

Section 3: Duties of employers and self-employed to others ................................ 28

Section 4: Duty of person in control of premises for health and safety of non-

employees.................................................................................................................. 29

Section 6: Duties of manufacturers etc. .................................................................. 29

Section 7: General Duties of Employees at Work .................................................... 30

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Section 8: Duty to not interfere with or misuse anything provided in the interests

of health, safety or welfare ....................................................................................... 30

Section 9: Duty of employer not to levy a charge on employees ........................ 30

Section 36: Offences Due to Fault of Another ........................................................ 30

Section 37: Offences by a Body Corporate ............................................................ 31

The Management of Health and Safety at Work Regulations 1999 ......................... 31

Regulation 3: Risk assessment ................................................................................... 32

Regulation 4: Principles of prevention ..................................................................... 32

Regulation 5: Health and safety arrangements ...................................................... 32

Regulation 7: Health and safety assistance ............................................................ 33

Regulation 8: Procedures for serious and imminent danger .................................. 33

Regulation 10: Information for employees .............................................................. 33

Regulation 13: Capabilities and training ................................................................. 33

Regulation 14: Employees' duties ............................................................................. 34

1.4 Managing contractors effectively ............................................................................ 35

Management of Contractors....................................................................................... 36

Step 1: Planning ......................................................................................................... 36

Step 2: Choosing a Contractor ................................................................................ 36

Step 3: Contractors Working on Site ......................................................................... 37

Step 4: Monitoring the contract ............................................................................... 38

Step 5: Reviewing the Work ...................................................................................... 38

Construction (Design and Management) Regulations 2015 (CDM) ........................ 39

Requirements ............................................................................................................. 39

Duty Holders and their Duties ................................................................................... 41

Information for Construction Projects Involving More Than One Contractor ....... 44

The Construction Phase Plan .................................................................................... 44

Health and Safety File ............................................................................................... 46

Summary Diagram of CDM Regs. ............................................................................ 47

Element 2: How health and safety management systems work and what they look

like ...................................................................................................................................... 48



2.1 What they are and the benefits they bring .............................................................. 50

Plan ............................................................................................................................. 50

Do ............................................................................................................................... 51

Check ......................................................................................................................... 51

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Act .............................................................................................................................. 51

The benefits of HSMS’s .................................................................................................. 52

Occupational health focus ...................................................................................... 52

H&S is as important as other business objectives .................................................... 52

H&S in relation to quality ........................................................................................... 52

Legal compliance is easier to attain and prove ..................................................... 52

Proving ‘reasonably practicable’ ............................................................................ 53

Helping system integration ....................................................................................... 53

Continual improvement ............................................................................................ 53

Increasing the effectiveness of initiatives ................................................................ 53

Visible commitment of ‘top managers’ ................................................................... 53

Regular audits ............................................................................................................ 53

Part of corporate governance ................................................................................. 54

Reassuring the enforcement authorities .................................................................. 54

A focus on H&S resources ......................................................................................... 54

Emergency preparedness ........................................................................................ 54

Managers have a ‘finger on the pulse’ ................................................................... 54

Systematic risk management ................................................................................... 55

2.2 What good health and safety management systems look like .............................. 56

Written Statement ......................................................................................................... 56

Organisation .................................................................................................................. 58

All Employees ............................................................................................................. 58

Supervisors and Managers ........................................................................................ 58

Directors / Senior Management Team .................................................................... 59

Health and Safety Advisor / Manager ..................................................................... 59

First-aiders ................................................................................................................... 59

Fire Warden / Marshall .............................................................................................. 59

Performance Management ..................................................................................... 60

Arrangements ................................................................................................................ 60

Health and safety risk management ....................................................................... 60

Consultation with employees ................................................................................... 60

Safe plant and equipment ....................................................................................... 60

Safe handling and use of substances ...................................................................... 60

Information, instruction and supervision .................................................................. 61

Competency for tasks and training ......................................................................... 61

Accidents, first aid and work-related ill health ........................................................ 61

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Monitoring .................................................................................................................. 61

Emergency procedures ............................................................................................ 61

Keeping it current .......................................................................................................... 63

Element 3: Managing risk - understanding people and processes .............................. 64



3.1 Health and Safety Culture ......................................................................................... 66

Meaning of health and safety culture ..................................................................... 66

Indicators of an organisation’s health and safety culture ..................................... 66

Influence of peers on health and safety culture .................................................... 66

3.2 Improving health and safety culture ......................................................................... 67

Promoting health and safety standards ...................................................................... 67

Commitment ................................................................................................................. 68

Competence................................................................................................................. 69

Training ........................................................................................................................... 69

Training design ........................................................................................................... 70

Induction training ...................................................................................................... 70

Refresher training ....................................................................................................... 71

Additional training ..................................................................................................... 71

Communication ............................................................................................................ 72

Merits and Limitations of Methods of Communication .......................................... 72

Use and Effectiveness of Noticeboards and Health and Safety Media ............... 73

Cooperation and Consultation ................................................................................... 76

What should the workforce be consulted about? ................................................. 77

Union-appointed representatives ............................................................................ 79

Workforce-elected representatives ......................................................................... 79

Safety Committees .................................................................................................... 80

Discipline ........................................................................................................................ 81

3.3 How human factors influence behaviour positively or negatively ......................... 83

Organisational Factors .................................................................................................. 83

Leadership .................................................................................................................. 83

Management style .................................................................................................... 83

Visible management ................................................................................................. 84

Good communications ............................................................................................. 84

Learning organisation ............................................................................................... 84

External pressures ....................................................................................................... 84

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Committed resources ................................................................................................ 84

Participation ............................................................................................................... 84

Balance of productivity and safety ......................................................................... 84

High quality training ................................................................................................... 85

Work Environment ...................................................................................................... 85

Job satisfaction .......................................................................................................... 85

Workforce composition ............................................................................................. 85

Work patterns ............................................................................................................. 85

Job Factors .................................................................................................................... 85

Ergonomics ................................................................................................................. 85

Task ............................................................................................................................. 86

Workload .................................................................................................................... 86

Environment ............................................................................................................... 86

Display and controls .................................................................................................. 86

Procedures ................................................................................................................. 87

Individual Factors .......................................................................................................... 87

Attitude ....................................................................................................................... 87

Personality .................................................................................................................. 88

Training and development ....................................................................................... 88

Motivation .................................................................................................................. 88

Perception .................................................................................................................. 88

Risk Perception ........................................................................................................... 89

3.4 Assessing risk ................................................................................................................ 91

Hazards and Risks .......................................................................................................... 91

Risk Profiling .................................................................................................................... 91

Risk Assessment .............................................................................................................. 92

Suitable and sufficient ............................................................................................... 92

A general approach to risk assessment (5 steps).................................................... 93

Risk Assessments for Specific Types of Risk ............................................................. 103

Specific Cases for Risk Assessment ......................................................................... 104

3.5 Management of change ......................................................................................... 109

Organisational Change .............................................................................................. 109

Plant or Process Change ............................................................................................ 110

Construction ................................................................................................................ 111

Weather conditions ................................................................................................. 111

Transitory nature of workers .................................................................................... 111

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Temporary nature of construction activities and the constantly changing

workplace ................................................................................................................ 112

Time pressure ............................................................................................................ 112

Managing the impact of change ............................................................................. 112

Monitoring and review ................................................................................................ 113

3.6 Safe systems of work for general work activities .................................................... 115

Worker involvement .................................................................................................... 115

Developing a safe system of work ............................................................................. 116

Analysing tasks, identifying hazards and assessing risks ....................................... 116

Introducing controls and formulating procedures ............................................... 116

Instruction and training in how to use the system ................................................. 116

Documented Procedures ....................................................................................... 117

Monitoring the System ............................................................................................. 118

3.7 Permit to Work (PTW) systems ................................................................................... 119

Key Stages of a PTW System ....................................................................................... 121

3.8 Emergency procedures ........................................................................................... 122

First Aid ......................................................................................................................... 123

Assessment of First Aid Needs ................................................................................. 123

Training and Testing .................................................................................................... 124

Element 4: Health and safety monitoring and measuring .......................................... 126

4.0 Learning Outcomes .................................................................................................. 127

Assessment criteria ...................................................................................................... 127

4.1 Active and Reactive Monitoring ............................................................................. 128

Active monitoring systems .......................................................................................... 129

Inspections ............................................................................................................... 130

Reactive monitoring systems ...................................................................................... 132

Leading and Lagging Indicators ............................................................................... 132

Leading indicators ................................................................................................... 133

Lagging indicators ................................................................................................... 133

4.2 Investigating Incidents .............................................................................................. 134

The Level of Investigation ........................................................................................... 134

The Investigation Process ............................................................................................ 135

Who should conduct the investigation?................................................................ 136

Step 1: Gathering Information ................................................................................ 136

Step 2: Analysing the Information .......................................................................... 138

Step 3: Identifying Suitable Risk Control Measures ................................................ 140

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Step 4: The Action Plan and Implementation ....................................................... 140

Recording and Reporting Incidents .......................................................................... 141

Work-related accidents .......................................................................................... 141

Reportable injuries ................................................................................................... 142

Reportable occupational diseases ........................................................................ 142

Reportable dangerous occurrences ..................................................................... 143

Reportable gas incidents ........................................................................................ 143

Recording requirements ......................................................................................... 143

4.3 Health and Safety Auditing ...................................................................................... 145

What is an audit .......................................................................................................... 145

Why audit ..................................................................................................................... 145

The differences between audits and inspections .................................................... 146

Types of audit .............................................................................................................. 146

System audit ............................................................................................................. 146

Process audit ............................................................................................................ 147

Product/service audit.............................................................................................. 147

Internal or External Audits? ......................................................................................... 147

The audit stages .......................................................................................................... 148

Planning .................................................................................................................... 148

Notification of the audit and timetable for auditing ............................................ 149

Pre-audit preparations, including competent audit team, time and resources

required .................................................................................................................... 149

Information gathering ............................................................................................. 150

Information analysis ................................................................................................. 150

Completion of audit report ..................................................................................... 151

4.4 Review of health and safety performance ............................................................ 152

Why health and safety performance should be reviewed ..................................... 152

What the review should consider .............................................................................. 152

Reporting on health and safety performance ......................................................... 153

Continuous improvement ........................................................................................... 154

Appendix 1: Formative Self-Assessment ........................................................................ 155

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Element 1: Why we should manage

workplace health and safety

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1.0 Learning Outcomes On completion of this element, candidates should be able to

• justify health and safety improvements using moral, financial and legal

arguments

• advise on the main duties for health and safety in the workplace

• help their organisation manage contractors

Assessment criteria

1.1 Discuss the moral, financial and legal reasons for managing health and safety in

the workplace

1.2 Explain how the law works and the consequences of non-compliance

1.3 Summarise the main health and safety duties of employers and workers in HSWA

1974 and MHSWR 1999

1.4 Explain how contractors should be selected, monitored and managed

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1.1 Morals and money

Moral expectations of good standards of health

and safety

Society exerts pressure through

three overlapping and interacting

spheres of influence: moral, legal

and financial. This section outlines

the moral and financial drivers for

health and safety management.

The legal framework for health and

safety regulation is discussed at

length in later elements. Morals are the codes of conduct, or rules of behaviour imposed by a society

regarding what is right and wrong.

For people to be killed, or seriously injured, or to suffer illness because of work is

clearly wrong.

Although, in the UK there are generally good standards of workplace health and

safety a lot of harm is still caused each year.

The Health and Safety Executive (HSE) publishes annual statistics of reported cases of

workplace injury and illness. As can be seen the numbers of cases of occupational

illness is significantly higher than the numbers of injuries.

Injury/Illness Type Reported numbers 2013/14

Fatal injuries 144

Notified non-fatal injuries to employees 71,062

Musculoskeletal disorders 0.5 million

Stress, depression and anxiety 0.6 million

Work-related ill-health 1.4 million

Societal Expectations of Good Standards of Health and Safety

Societal expectation changes with the times. The expectations of workplace

standards in the UK in the 21st century are much higher than they would have been

in the 1950s, and much higher again than they would have been in 1819 when the

Moral

FinancialLegal

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Cotton Mills Act stopped children under 9 years of age from working in cotton mills

and limited those under 16 years of age to a maximum 16 hour shift per day.

For more than two hundred years, worker’s groups in the UK have organised

themselves and campaigned for better working conditions and treatment from their

employers. More enlightened, philanthropic employers also helped to improve

conditions over time as did the introduction of legislation including a number of

Factories Acts between 1833 and 1961.

Better education has led to a more informed workforce with access to information

through 24-hour news media and the internet.

In developing nations which are undergoing their own industrial revolutions,

standards are like they were in Victorian Britain and expectations are

understandably much lower.

The financial cost of incidents (insured and

uninsured costs).

Accidents clearly cost money because of injured people, damaged plant and

machinery and wasted product.

The HSE estimates that occupational injuries and illnesses cost the UK in the region of

£20 to £30 billion pounds each year if the total costs to individuals, employers and

society are considered.

The costs of highly visible accidents involving large scale loss of life or major property

damage as a result of fire and explosion are often determined by official inquiries.

The BP Texas City fire and explosion in 2005 cost over $21million in fines, $2billion in

civil claims, and $1billion in reinstating the site.

The Buncefield oil refinery fire in 2005 is believed to be the most expensive accident

in UK history with a total cost of over £1billion, including £9.5 million in fines.

Smaller accidents have proved much more difficult to cost as relatively few

companies have systems in place to quantify them.

HSE Guidance from 2002 “Reduce Risks – Cut Costs” (INDG355) identified three

methods for quickly and crudely estimating uninsured costs of accidents.

1. the uninsured costs of an accident are approximately 10x the insurance

premiums paid

2. Uninsured losses from accidents in smaller firms add up to £315 per employee

per year

3. The average uninsured cost of an accident causing absence from work is

approximately £2100

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As every business and every incident are different the only accurate way of

determining costs is to measure them.

An enforcement or competent authority may decide to prosecute for a breach of

relevant safety and health law and, if successful, a fine and/or imprisonment may be

given. Where companies or organisations are found guilty of serious management

failures, penalties can include unlimited fines.

In England and Wales penalties were recently changed and offences that are tried

in a magistrates’ court now carry an unlimited fine or imprisonment up to six months.

For serious matters that go to a Crown Court and are tried before a judge and jury,

the individual can be handed either an unlimited fine, up to two years’

imprisonment, or both. Fines of over £100,000 are not uncommon and you can’t get

insurance to cover criminal penalties.

There are further costs, such as those associated with replacement labour, accident

investigation time, downtime and increases in worker insurance premiums because

of poor claims history.

If the accident has caused an injury, the injured worker may also be able to bring a

personal injury claim for their injuries. Damages are awarded on a range of factors,

including the loss of a faculty (such as sight or hearing), whether the injury is

permanent, and its effect on the claimant’s ability to earn a living. Not all workers

are able to bring a claim for damages. It depends on local laws and what the claim

is for.

‘Damages’ refers to the payment of financial compensation for a tort/delict. In

principle the claimant is entitled to full compensation for any losses incurred. The

intention is to put the complainant in the same position as if the tort/delict had not

been committed.

The damages that can be recovered as a result of a successful personal injury claim

fall into two categories:

• General damages – actual and/or probable loss of future earnings, to be

incurred after the case

• Special damages – quantifiable losses incurred before the case, mainly loss of

earnings and medical expenses

In the UK employers’ liability insurance provides cover for employers for claims

against them by their employees for injury or disease sustained in the course of their

employment.

The Employers’ Liability (Compulsory Insurance) Act 1969 requires most employers to

have at least £5 million pounds of insurance cover (most policies offer at least £10

million of cover) available for compensation payments to employees injured or

made ill as a result of work.

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These injured costs represent only a small fraction of the total costs that arise due to

accidents and incidents. Figuratively, the ‘tip of the iceberg’.

The way the media portray serious accidents at work can have a significant impact

on public and commercial perception of a company and its business practices. This

can lead to loss of reputation and subsequently loss of business.

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1.2 The force of law – punishment and

compensation

Sources of law

The law is made in two different ways, i.e. there are two sources of law – common

law or statute. Statute law takes priority over common law and may be enacted to

address a perceived inequity in the common law. Common law often aids the

interpretation of statute law as terms are debated in the courts based on the facts

of a real case.

Statute law

Or legislation, is law made by Parliament as an Act of Parliament, or a statutory

instrument (e.g. Regulations) made under powers within an Act of Parliament.

Common law

Historically this meant law that was not local but was common to all of England.

More usually the phrase means law that is not the result of legislation. Court decisions

establish law through a system of precedents.

Types of law

The law is divided into two branches (or types), civil and criminal which have

different purposes. Any given event may give rise to both civil and criminal

consequences.

Criminal law

If minimum legal standards are not met the enforcing authority may prosecute the

offender in the criminal courts.

Civil law

If an individual suffers loss (injury / ill-health or death) the victim, or his dependants,

may sue for damages in the civil courts.

Civil and Criminal Consequences

Consider an accident where an apprentice carpenter cuts off his fingers using an

unguarded band saw. He may well take a civil action against his employer, blaming

the employer for negligently causing his injury and seeking compensation

(damages) for his loss.

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A criminal prosecution may also be taken by the HSE (assuming the accident was

reported, or the HSE was otherwise made aware). The purpose of the prosecution

would be to punish the employer (through a fine and/or imprisonment) for failing to

comply with health and safety legislation (the guarding requirements of the Provision

and Use of Work Equipment Regulations - PUWER). The key differences between civil

and criminal law are shown below:

Civil Law Criminal Law

Tort/delict e.g. negligence Crime e.g. breach of Health and Safety

at Work Act or specific Regulations

Civil wrong Criminal offence

Wrong to an individual Offence against society

Action taken by injured party Prosecution taken by enforcing

authority

Tried in civil court Tried in criminal court

Determines liability Determines guilt

Loss necessary for action Loss not necessary

Seeks compensation for loss Seeks to punish for breach of law

Liability proved on the “balance of

probabilities”

Guilt proven “beyond all reasonable

doubt”

Can be insured against (ELI is generally

compulsory)

Cannot be insured against

Criminal Law Liabilities

The framework of criminal health and safety legislation in the UK is illustrated below:

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Framework of criminal health and safety legislation in the UK (sample only)

Health and Safety at Work Act

The Health and Safety at Work Act is still the main health and safety legislation in the

UK. It is an Act of Parliament (primary legislation) that prescribes general duties to all

at work, regardless of the work activity or context. Failure to comply with a duty

under the Act is a criminal offence which may be punished by fine or imprisonment.

Regulations

Section 15 of the Health and Safety at Work Act enables the relevant Secretary of

State to make health and safety regulations. Regulations (statutory instruments /

secondary legislation) are usually:

• more detailed than the general duties of HASAWA

• problem specific (e.g. noise, hazardous substances)

• prompted by European Directives

• intended to protect employees at work

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Failure to comply with a Regulation is a criminal offence which may be punished by

fine or imprisonment or warrant the service of an Improvement notice to obtain

compliance.

The Management of Health and Safety at Work Regulations are an example of

health and safety regulations.

Approved Code of Practice (ACoP)

An Approved Code of Practice (ACoP) gives practical advice on how to comply

with the law.

If the advice in the ACoP is followed compliance with the law is assured in respect of

those specific matters on which the ACoP gives advice.

The ACoP has special legal (or quasi-legal) status. In a prosecution for a breach of

health and safety law, if it is proved that a relevant provision of the Code was not

followed, compliance with the law in some other way must be proved.

The Workplace (Health, Safety and Welfare) Regulations; and the Provision and Use

of Work Equipment Regulations (PUWER) are both supported by Approved Codes of

Practice

Guidance

Following guidance is not compulsory and other action may be taken. Following

guidance will normally be enough to demonstrate compliance with the law.

Health and safety inspectors are likely to refer to guidance as an illustration of good

practice.

The Health and Safety (Display Screen Equipment) Regulations; and the Manual

Handling Operations Regulations are both supported by guidance documents.

Levels of statutory duty

Duties in health and safety law may be absolute (i.e. must be done) or may be

qualified. The two major qualifications of health and safety law are those imposed

by the phrases ‘practicable’ and ‘reasonably practicable’.

Absolute

Usually preceded by the word ‘shall’ an absolute duty must be complied with. The

employer has absolute duties to prepare a safety policy and to undertake risk

assessments.

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Practicable

If a duty applies so far as is ‘practicable’ it is a less onerous duty than an absolute

one. Practicable means feasible in the light of current knowledge and invention, i.e.

if it can be done it must be done.

Reasonably practicable

Reasonably practicable requires the degree of risk (likelihood x severity) of a

particular activity or environment to be balanced against the costs (time, trouble

and physical difficulty) of taking measures to avoid the risk.

The greater the risk, the

more likely it is that it will be

reasonable to go to very

substantial expense, trouble

and invention to reduce it.

If the consequences and

the extent of a risk are small,

the same substantial

expense would be

considered disproportionate

to the risk and it would be

unreasonable to have to

incur them to address a

small risk.

The size and financial position of the employer are not taken into account in

consideration of what is ‘reasonably practicable’.

Enforcement of health and safety

The enforcement of health and safety depends upon the main activity undertaken

at a place of work.

The HSE typically enforces at higher risk workplaces such as construction sites and

factories.

Local Authorities (Usually Environmental Health Officers – EHO’s) enforce at lower risk

premises such as retailers, offices and warehousing.

Inspectors have a range of enforcement options and tools available including:

• Simple Caution

• Improvement Notice

• Prohibition Notice

• Prosecution

Risk Control

'Reasonably Practicable'

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The best option(s) will be chosen in each case. There is no hierarchical escalation

route from informal advice to prosecution.

Simple Cautions

A simple caution is a means for dealing with low-level, mainly first time offending

when specified public interest and eligibility criteria are met.

A simple caution is appropriate where:

• the offender makes a clear and reliable admission of the offence

• there is a realistic prospect of conviction if the offender were to be

prosecuted

• the offender agrees to receive the simple caution

A repetition of a breach that was the subject of a simple caution will normally be

treated in the same way as a failure to comply with an Enforcement Notice, i.e. with

criminal proceedings.

Simple cautions are recorded and can be brought to the attention of the court

where relevant to any subsequent offending.

Improvement Notice

An improvement notice may be served whenever health and safety legislation is

being contravened. An improvement notice will specify the breach of legislation

and may specify a means of complying. It must allow a reasonable time (minimum

21 days) to complete any specified works.

Any appeal against an improvement notice must be made to the Employment

Tribunal with 21 days of the date of service. The requirements of the notice would be

suspended until the appeal was heard.

The Employment tribunal may uphold, cancel or vary the improvement notice

because of the appeal.

Prohibition Notice

A prohibition notice may be issued when the inspector considers that there is a risk of

serious personal injury. The notice prohibits the carrying on of the work activity giving

rise to the risk of injury.

If the risk of injury is imminent, the notice must take immediate effect and stop the

work activity at once. If not, the prohibition notice is deferred, specifying the time by

which the work activity must cease.

Any appeal against a prohibition notice must be made to the Employment Tribunal

with 21 days of the date of service. The notice would stay in effect until the appeal

was heard.

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Prosecution

Any breach of legislation may give rise to a prosecution in the criminal courts.

A summary offence is typically defined as an offence that has a maximum sentence

of 6 months’ imprisonment or of a 5,000 pound fine for any one offence. Thus one

can say that this is the lest serious type of criminal offence.

An indictable offence is typically defined as an offence that carries the maximum

sentence for said offence. Thus, indictable offences are the most serious type of

offence.

Triable either way offences are offences that can be treated as either a summary

offence or an indictable offence. Thus, these offences are off mid-level seriousness

or are debatable. Health and safety offences are usually ‘triable either way’, this

means the case may be heard in a magistrate’s court or a crown court.

The sanctions available to a crown court are greater than in a magistrate’s court.

The information below shows the maximum sentences available to each court for

breaches of HASAWA and health and safety regulations.

Magistrates Court Crown Court

• Term not exceeding 6 months

• Unlimited fine

• Term not exceeding 2 years

• Unlimited fine

Company directors convicted of health and safety offences, as well as being

prosecuted can also be disqualified from being Company Directors.

Fees for Intervention (FFI)

The HSE operates a Fee for Intervention (FFI) cost recovery scheme. Where there has

been a ‘material’ breach of health and safety laws those responsible for the breach

are liable for recovery of HSE’s related costs, including inspection, investigation and

taking enforcement action.

Powers of Health and Safety Inspectors

All authorised health and safety inspectors have the same powers, regardless of the

area of enforcement. Inspectors can:

• enter any premises which they think it necessary to enter for the purposes of

enforcing health and safety law. The power of entry can be exercised without

permission or prior notice, at any reasonable time or at any time if dangerous

• take a police constable with them if they have reasonable cause for thinking

they might be seriously obstructed

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• take any other person authorised by their enforcing authority, such as a

specialist, and any equipment needed

• order that areas be left undisturbed

• take measurements, photographs and samples

• carry out tests on, and/or confiscate articles and substances

• inspect and take copies of relevant documents

• seize any article or substance which they have reasonable cause to believe

presents an immediate danger of serious personal injury and have it made

harmless, by destruction if necessary

• interview and take written statements from anyone they think might give

them information relevant to their examination or investigation

The Corporate Manslaughter and Corporate Homicide Act 2007

Manslaughter by individuals is a 'common law' crime. The case of R v Adomako

(1994) sets out the current test to prove the offence. An individual commits

manslaughter when he causes a death through gross negligence.

The test of whether a "company" could be found guilty of common law

manslaughter was intrinsically linked to the ‘identification doctrine’. A director or

senior manager (a controlling mind and will) of the company had to be found guilty,

for the company to be found guilty.

There were several disasters in the 1980’s and 1990’s which lead to failed

prosecutions for corporate manslaughter.

The Southall rail crash on 19th September 1997 resulted in 7 deaths and 151 injuries,

leading to Great Western Trains (GWT) pleading guilty to contravening Section 3(1)

of the Health and Safety at Work Act, and receiving a record fine of £1.5 million.

Mr Justice Scott-Baker expressed his concern regarding “a serious fault of senior

management”. However, a charge of manslaughter could not succeed because

no individual could be prosecuted and found guilty of gross negligence

manslaughter.

The HSE commented that death or personal injury resulting from major disasters was

rarely due to the negligence of a single individual but was more likely to be the result

of the failure of systems controlling the risk, with the carelessness of individuals being

a contributing factor.

After much lobbying to address the shortcomings of prosecutions of corporate

bodies under common law the Corporate Manslaughter and Corporate Homicide

Act 2007 (CMCHA) was introduced.

Under CMCHA, corporate manslaughter:

• can only be committed by organisations and not by individuals

• requires a breach of the duty of care under the law of negligence

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• requires that the breach is a gross breach, i.e. where the conduct of the

organisation falls far below what should reasonably be expected

• requires that a substantial element in the breach is the way in which the

organisation’s activities are managed or organised by its senior

management; and

• is committed only where death is shown to have been caused by the gross

breach of duty

The sanctions available to the courts include unlimited fines, publicity orders and

remedial orders.

The Sentencing Guidelines for Corporate manslaughter suggests that an appropriate

level of fine will seldom be less than £500,000 and may be measured in millions of

pounds.

Publicity Orders may require publication in a specified manner of:

• the fact of conviction

• specified particulars of the offence

• the amount of any fine

• the terms of any remedial order

Any specific failings involved in the offence ought to have been remedied by the

time of sentencing and if not will deprive the defendant of significant mitigation.

If, the failings have not been addressed a remedial order may be used if it can be

made sufficiently specific to be enforceable.

As the remedial order requires only what should already have been done the cost of

compliance with the order should not be considered in setting the fine.

Defences to Criminal Charges

The main defence to criminal charges under health and safety legislation is that the

particular duty has not been breached. This is a matter of fact for absolute duties

but arguable for those duties qualified by terms such as ‘so far as is reasonably

practicable’, ‘reasonable’ or ‘practicable.’

NB. the onus of proving that the duty has been fulfilled rests with the accused, not

the prosecution.

In some cases, it may be possible for the accused to argue that he is not the duty

holder (e.g. employer or a person who has control of premises).

Civil Law Liabilities

When an employee is injured at work and seeks to make a personal injury claim the

employee may sue under the tort/delict of negligence, or the tort/delict of breach

of statutory duty.

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Negligence

Negligence may be explained as careless conduct injuring another. For the injured

party (claimant) to succeed in a negligence claim, he must prove:

1. That the defendant (usually the employer) owed him a duty of care;

2. That this duty was breached; and

3. That the claimant was injured as a result of the breach.

The Duty of Care

Prior to 1932 there was no generalised duty of care in negligence. The tort/delict was

only applied in particular situations where the courts had decided that a duty should

be owed, such as road accidents or dangerous goods.

In Donoghue v Stevenson (1932) Lord Atkin attempted to lay down a general

principle which would cover all the circumstances where there could be liability for

negligence. He said: “You must take reasonable care to avoid acts or omissions

which you can reasonably foresee would be likely to injure your neighbour. Who,

then, in law is my neighbour? The answer seems to be - persons who are so closely

and directly affected by my act that I ought reasonably to have them in

contemplation as being so affected when I am directing my mind to the acts or

omissions which are called in question."

The requirements that must now be satisfied before a duty of care is held to exist

were established by Lord Bridge in Caparo Industries v Dickman (1990):

• foreseeability of the damage, i.e. whether a 'reasonable person' would have

foreseen damage in the circumstances

• a sufficiently 'proximate' relationship between the parties (i.e. a neighbour

relationship)

• it must be fair, just and reasonable to impose such a duty

Relationships that are sufficiently proximate to be deemed a neighbour relationship

include:

• Employer to employees

• Employer to contractor and contractor’s employees

• Occupier to authorised visitors

The employers civil common law duty of care owed to its employees is to provide:

• A safe place of work,

• Safe plant and equipment

• Safe systems of work

• Training, supervision and reasonably competent co-workers

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Breach of the Duty of Care

The duty of care is breached if the defendant has failed to exercise the reasonable

care expected of a reasonable man in the circumstances.

Breach Caused the Injury

The claimant must prove, on the balance of probabilities, that the defendant’s

breach of duty caused the harm and that the harm would not have occurred “but

for” the negligence of the defendant.

Defences against claims of negligence

In the first instance defences against negligence rely on disproving any of the three

steps outlined above, i.e.

• The defendant did not owe the claimant a duty of care

• The duty of care was not breached (the defendant had taken reasonable

care / the loss was not foreseeable / it was an ‘act of God’)

• The breach of the duty of care did not give rise to the injury

In addition, the following may also be used as a defence:

• The injury was the sole fault of the employee

• The injury was the sole fault of a third party

• The proceedings were not brought within the specified time limit (see notes

on the Limitations Act below).

Historically the defence of “volenti non fit injuria” (to a willing person no injury is

done) was used on the basis that certain trades were inherently dangerous and that

the workers needed to rely on their own skill to keep themselves safe. Since the

1940’s the courts have been generally unwilling to accept a “volenti” defence.

Contributory Negligence

Contributory negligence arises when the claimant’s own carelessness, or disregard

for personal safety, contributes to the injury or loss which arises partly because of the

claimants own fault and partly because of the fault of another (the defendant).

Damages recoverable in respect of the claim will be reduced to the extent the

court thinks fair, having regard to the claimant’s share of responsibility for the

damage.

Vicarious Liability

In general terms vicarious liability is a legal liability imposed on one person making

them liable for tort/delicts committed by another.

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With regard to a personal injury claim for an accident in the workplace if an

employee, acting in the course of normal employment injures another employee the

employer will be held vicariously liable for the losses incurred.

Tort of breach of statutory duty (TBSD) – New & Expectant Mothers

As an alternative to suing for negligence, new or expectant mothers can sue for

damages caused by breaches of regulations 16 or 17 of the Management of Health

and Safety at Work Regulations 1999.

TBSD may provide a more straightforward course of action as a statutory duty is likely

to be more specific than the general duty of care.

Conditions to be met for breach of statutory duty

It is important to note that a breach of a statute is not sufficient on its own to prove

the tort/delict of breach of statutory duty in a civil claim. The following conditions

must be fulfilled:

• The statute must apply to the claimant, i.e. an employee can only sue if the

statute applies to employees

• The statute must have been designed to prevent the type of injury incurred

by the claimant

• The statute must have been breached. (A successful prosecution will aid the

claimant's case)

• The injury must have been caused by the breach of statute

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1.3 The most important legal duties for

employers and workers

Health and Safety at Work etc. Act 1974

The key objectives of the Health and Safety at Work Act 1974 (HASAWA) are:

• securing the health, safety and welfare of people at work

• protecting people other than those at work against risks to their health and

safety arising out of work activities

HASAWA applies to all types of work activity and situations and imposes duties on

everyone concerned with work and workplace activities, including employers, the

self-employed and employees; manufacturers, designers and suppliers; and people

in control of premises.

Duties are imposed on individuals and employing organisations be they

corporations, companies, charities, or government departments and are intended

to encourage employers and employees to take a wide-ranging view of their roles

and responsibilities.

Section 2: General duties of employers to their employees

• Every employer must ensure, so far as is reasonably practicable, the health,

safety and welfare at work of all his employees. Examples of the extent of the

general duty include (so far as is reasonably practicable):

o the provision and maintenance of plant and systems of work that are

safe and without risks to health

o arrangements for ensuring health and safety with the use, handling,

storage and transport of articles and substances

o the provision of information, instruction, training and supervision to

ensure, the health and safety at work of employees

o maintenance of any workplace, under his control, in a healthy and

safe condition, including any means of access and egress

o the provision and maintenance of a safe and healthy working

environment with adequate facilities and arrangements for the welfare

of employees at work

• The employer has an absolute duty (shall) to prepare and revise, as

necessary, a written statement of his general policy with respect to the health

and safety at work of his employees and the organisation and arrangements

in force for carrying out the policy. The statement and any revision of it has to

be brought to the notice of all of employees.

• The employer has an absolute duty to consult safety representatives

regarding arrangements for enabling employee cooperation in promoting

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and developing and checking measures to ensure the health and safety at

work of the employees.

• It shall be the duty of every employer, if requested by safety representatives,

to establish a safety committee to keep under review the measures taken to

ensure the health and safety at work of his employees

Section 3: Duties of employers and self-employed to others

Every employer and self-employed person has a duty to conduct his undertaking in

such a way as to ensure, so far as is reasonably practicable, that persons not in his

employment, who may be affected, are not exposed to risks to their health and

safety.

Self-employed persons are also required to protect themselves from risks to their own

health and safety.

This section also allows for Regulations to be made requiring the employer / self-

employed person to provide relevant health and safety information to non-

employees.

R v Associated Octel Ltd (1994)

Associated Octel Ltd maintained its plant and equipment during factory shutdown

each year. In 1990, this work was carried out by Resin Glass Products (RGP) Ltd as

contractors. An employee of RGP cleaning the inside of a tank was badly burned

because of an explosion inside the tank. RGP Ltd were convicted under the Health

and Safety at Work Act and Associated Octel Ltd. were also convicted under the

Health and Safety at Work Act for failing to protect non-employees from health and

safety risks from their ‘undertaking’.

Associated Octel appealed arguing that RGP was an independent contractor and

that the work was not part of Associated Octel’s “undertaking” and that the Health

and Safety at Work Act did not involve liability for the actions of independent

contractors.

The appeal was dismissed. The word "undertaking" means "business" or "enterprise"

and this activity was clearly part of Associated Octel’s. ‘undertaking’ as the tank

was part of their plant and the work formed part of their planned maintenance

programme.

Associated Octel should have specified the necessary requirements for avoiding risks

to health and safety.

This section was amended by the Deregulation Act 2015.

From October 1st 2015, the self-employed person’s duty to conduct his undertaking

in such a way that ensures, so far as is reasonably practicable, that the health and

safety of persons not in his employment is not adversely affected only relates to

undertakings of a ‘prescribed description’.

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Prescribed activities are those involving work in:

• agriculture

• asbestos

• construction

• gas installation

• genetically modified organisms

• railways

Section 4: Duty of person in control of premises for health and

safety of non-employees

Any person who has, to any extent control of:

• work premises

• the means of access or egress

• any plant or substance in such premises

Has a duty to take all reasonable measures to ensure that all are safe and without

risks to health of non-employees who use non-domestic premises as a place of work

or as a place where they may use plant or substances provided for their use.

The duty overlaps with the general duties of sections 2 and 3, which would take

precedence when there is clearly an employer’s duty. The aim is to place a duty on

whoever has the power to remedy a particular source of hazard.

Examples of the application of this duty include:

• Coin operated launderettes used by members of the public – if no one is

employed there will be no employer’s duty, however the business owner

would have some control of the premises and therefore have a section 4 duty

• A maintenance contractor servicing a lift in the common parts of a multi-

occupied office block – if there is no obvious employer’s duty the landlord or

site agent would have duties under this section

Section 6: Duties of manufacturers etc.

Any person who designs, manufactures, imports, or supplies any article or substance

for use at work has duties to ensure, so far as is reasonably practicable:

• that the article or substance is safe and without risks to health when properly

used

• any necessary research and testing or examination of the article or substance

is properly undertaken

• adequate information is provided to ensure its safe use

Erectors and installers have a duty to ensure that nothing about the way in which an

article intended for work is erected or installed makes it unsafe or a risk to health

when properly used.

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The Section covers:

• new and second hand articles designed for use at work (including fairground

equipment), whether for sale or hire, and their component parts

• items which though capable of domestic use are designed to be used also at

work (The safety of goods intended for domestic use is subject to Consumer

Protection legislation)

• all substances, including micro-organisms, which are supplied to workplaces

Section 7: General Duties of Employees at Work

Every employee has the following two duties while at work:

• to take reasonable care for the health and safety of himself and of other

persons who may be affected by his acts or omissions at work

• to co-operate with his employer so far as is necessary to enable the employer

to comply with his own duties

Section 8: Duty to not interfere with or misuse anything provided in

the interests of health, safety or welfare

No person shall intentionally or recklessly interfere with or misuse anything provided in

the interests of health, safety or welfare whether for the protection of employees or

other persons.

This duty is imposed on all people, including children, be they at work or members of

the public.

Section 9: Duty of employer not to levy a charge on employees

The employer cannot charge an employee (or allow an employee to be charged)

for anything done or provided to comply with health and safety legislation.

Section 36: Offences Due to Fault of Another

If person ‘A’ commits an offence because of an act or default of person ‘B’, then

person ‘B’ may also be charged and convicted of the offence as well as, or instead

of person ‘A’.

The section also allows Crown servants, such as civil servants, to be prosecuted even

though the Crown as employer is immune from prosecution.

HSE v Lockwood (2001)

Lockwood, an occupational hygienist, was successfully prosecuted under the Health

and Safety at Work Act for failing to carry out a proper assessment of workers’

exposure to hazardous dust at a woodworking factory.

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The woodworking company was also prosecuted under the Health and Safety at

Work Act. The court held that the company had not selected the best occupational

hygienist for its needs. “… when relevant competencies are absent, it shows in the

end result.”

Section 37: Offences by a Body Corporate

Where an offence committed by a body corporate is proved to have been

committed with the consent, connivance, or neglect of any director, manager,

secretary or similar officer, the director may also be charged and convicted of the

offence.

Armour v Skeen 1977

A workman fell to his death while repairing a road bridge over the river Clyde. Mr.

Armour was the Director of Roads for the regional Council and as such the

responsibility for supervising the safety of road workers was his. He had not produced

a written safety policy for such work.

He was prosecuted under the Health and Safety at Work Act which imposes

personal liability on senior executives. Mr. Armours’ defence was that he was under

no personal duty to carry out the Council’s statutory duties, one of which was the

formulation of a detailed safety policy for the roads department.

This was rejected.

This section imposed upon Mr. Armour the personal duty to carry out the Council’s

statutory duty to prepare a written policy. This he had failed to do and was therefore

guilty of an offence.

The Management of Health and Safety at Work

Regulations 1999

The Management of Health and Safety at Work Regulations (‘Management Regs.’

or MHSWR) were originally introduced in 1992 to implement the requirements of the

European Framework Directive.

The ‘Management Regs.’ introduced the general requirement for risk assessment

into the UK. Where other more specific legislation requires a risk assessment (e.g.

COSHH – Control of Substances Hazardous to Health Regulations) complying with

the specific requirement will also fulfil the general requirement.

The requirements of the key Regulations are summarised below.

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Regulation 3: Risk assessment

Places an absolute duty (i.e. shall) on the employer (or self-employed person) to

make a ‘suitable and sufficient’ health and safety risk assessment of the risks that:

• employees are exposed to at work

• persons not in his employment are exposed to, arising out of or in connection

with the work

For the purpose of identifying the measures needed to comply with all relevant

health and safety statutory duties and / or prohibitions.

Also required:

• A specific risk assessment of the risks to young persons

• Review and revision of risk assessments if the workplace changes significantly

or if there are any grounds to believe it is no longer valid

• Employers with five or more employees to keep a record of the significant

findings of the risk assessment

Regulation 4: Principles of prevention

Requires the employer to implement preventive and protective measures based on

the following principles prevention:

• avoiding risks

• evaluating the risks which cannot be avoided

• combating the risks at source

• adapting the work to the individual, especially regarding workplace design

and the choice of work equipment and working / production methods

• adapting to technical progress

• replacing the dangerous by the non-dangerous or the less dangerous

• developing a coherent overall prevention policy which covers technology,

organisation of work, working conditions, social relationships and the

influence of factors relating to the working environment

• giving collective protective measures priority over individual protective

measures

• giving appropriate instructions to employees

Regulation 5: Health and safety arrangements

Having conducted a risk assessment and introduced risk control (preventative and

protective) measures the employer is required to implement appropriate

management controls to ensure the effective planning, organisation, control,

monitoring and review of the preventive and protective measures.

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Regulation 7: Health and safety assistance

The employer is required to appoint a competent person(s) to assist in undertaking

the measures necessary to comply with the requirements of the legislation.

The number of persons appointed, and the resources available (time and other

means) must be adequate, for the size and hazard profile of the organisation.

Where more than one person is appointed arrangement must be made s for

ensuring adequate co-operation.

Where a non-employee (e.g. consultant) is appointed the employer must provide

him with information required under Reg. 10 and any factors known to affect the

health and safety of employees or others.

A person is regarded as competent if he has sufficient training and experience or

knowledge and other qualities to enable him to properly undertake the role.

Regulation 8: Procedures for serious and imminent danger

The employer is required to:

• implement appropriate procedures to be followed in the event of serious and

imminent danger arising in the workplace

• appoint enough competent persons to implement evacuation procedures

• restrict access to ‘danger areas’ to those employees who have received

adequate instruction and training regarding the risks and controls

Regulation 10: Information for employees

The employer should provide employees with relevant, comprehensible information

regarding:

• the risks to their health and safety

• the preventive and protective measures

• the procedures for serious and imminent danger, and danger areas including

the identity of the competent persons appointed for evacuation procedures

• the risks created by another employer while sharing a workplace

Where a child is employed the information is provided to the parent or guardian.

Regulation 13: Capabilities and training

An employee’s capabilities for health and safety shall be considered before the

employer allocates them work.

Employees are to be provided with adequate health and safety training:

• on recruitment

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• on being exposed to new or increased risks because of changes of

responsibility; work equipment; new technology; or new systems of work

Regulation 14: Employees' duties

All employees are required to:

• use any machinery, equipment, dangerous substance, transport equipment,

means of production or safety device in accordance with health and safety

training and instruction

• inform the employer (or employee with specific responsibility) of any work

situation which represents a serious and immediate danger to health and

safety and of any shortcomings in the protection arrangements for health

and safety

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1.4 Managing contractors effectively Where clients use contractors there are shared responsibilities for ensuring the health

and safety of client and contractor workforces and anyone else who may be

affected by the work. If not properly managed, accidents are likely.

A contractor’s employees may possibly be at a greater risk than the client’s

employee whilst working on the client’s site due to:

• unfamiliarity with the client’s site

• unfamiliarity with the client’s site rules and procedures

• often contractors are used for high risk activities

• lack of appropriate training

• poor supervision

Health and safety requirements should be written into the contract for the work,

clearly defining the responsibilities of each party.

The legal duties of the Health and Safety at Work Act and the Management of

Health and Safety at Work Regulations will also apply. For construction projects the

requirements of the Construction (Design and Management) Regulations (CDM) will

also apply.

As discussed previously

each employer has

general duties under

HASAWA to ensure the

health and safety of their

own employees, and any

non-employees affected

by the undertaking. Each

employee has duties to

cooperate with their

employer and to take

reasonable care for their

own safety and the safety

of others. The

Management Regs specifically requires employers sharing a workplace to

cooperate and coordinate their activities to ensure the health and safety of all.

The extent of the responsibilities of each party will depend on the circumstances.

36


Management of Contractors

The HSE advocates a five-step approach on how to manage contractors and

ensure safe working:

1. Planning

2. Choosing A Contractor

3. Contractors Working on Site

4. Keeping A Check

5. Reviewing the Work

Step 1: Planning

Defining the job

The client should clearly identify all aspects of the work they want the contractor to

do, including work falling within the preparation and completion phases.

Risk management

Both the client and prospective contractor should be involved in the risk

management process.

The client should already have a risk assessment for the work activities of his own

business. The contractor’s role involves assessing the risks for the contracted work.

The client and the contractor need to agree the risk assessment for the contracted

work and the preventative and protective steps that will apply when the work is in

progress. If subcontractors are involved, they should also be part of the discussion

and agreement.

Specify conditions

Contractors must be made aware of the expected standards of performance.

Health and safety arrangements, procedures, permit systems and safety policy

statement should be shared with the contractor who should confirm their

understanding and agree to work accordingly.

Step 2: Choosing a Contractor

Contractors will be selected based upon a range of criteria including availability,

cost, technical competence, reliability and health and safety.

The client must take reasonable steps to satisfy themselves that the contractor is

competent to do the job safely and without risks to health and safety.

The degree of competence required will depend on the work to be done.

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The best way of being satisfied of a contractor’s competence is through first-hand

experience. A contractor is demonstrably competent if he has previously been used

successfully on a similar job (through a cycle of risk management, monitoring and

review).

A pre-tender questionnaire (PTQ) may be used to broadly determine the suitability of

a contractor. Questions should be designed to check the contractors:

• experience in the type of work to be one

• health and safety policies and practices

• recent health and safety performance (number of accidents etc.)

• qualifications and skills relevant to the contract

• selection procedure for sub-contractors (if sub-contractors are to be

allowed), or their safety method statement

• Arrangements for:

o health and safety training e.g. safety passport; supervision

o consulting the workforce

o independent assessment of competence

o memberships of relevant trade or professional body

References may be needed to verify the information provided.

Once a contractor has been appointed pre-commencement meetings will be

required to clarify responsibilities and to ensure effective management

arrangements are in place.

Step 3: Contractors Working on Site

Specific arrangements will be required to:

• Manage the movements of contractors on site through visitor sign in controls

and possibly permits-to-work

• Ensure that all technical and management controls are in place before

allowing the work to begin e.g.:

o numbers of persons and supervisor details are confirmed

o the correct work equipment is provided

o access and egress to location of work are discussed and agreed

o suitable personal protective equipment is available and being worn

o safe system of work / method statements are understood

o any necessary permits to work are in place;

o reporting, communications and monitoring arrangements have been

agreed

Information, instruction and training

All parties need to consider what health and safety information needs to be passed

between them and agree appropriate ways to make sure this is done.

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Instruction and training provided needs to take account of the risks arising from

each parties’ work.

Co-operation and co-ordination

The client should set up regular meetings or briefings to ensure effective liaison

between all the parties involved.

Consultation

The workforce should be part of the liaison arrangements set up by the client and

should be involved from the outset.

Management and supervision

The greater the risk posed by the contractor’s work the greater the management

and supervisory responsibilities of the client.

The client will require enough knowledge and expertise to manage and supervise

the contracted work.

Step 4: Monitoring the contract

All parties should monitor their health and safety performance to check that risk

assessments are current and that control measures are effective.

The level of monitoring depends on the risks - the greater the risks, the more frequent

the monitoring.

Contractors and sub-contractors should carry out day-to-day checks to see that

what should be done is being done; and clients should make periodic checks on the

contractor’s performance to see if the work is being done as agreed.

Information from proactive monitoring and reactive investigations should be used to

learn lessons and improve future performance.

Where requirements are not being met the client should take appropriate action to

ensure the work is undertaken to the required standard.

Step 5: Reviewing the Work

Both the client and the contractor should review the work after completion to see if

performance could be improved in future.

The client should review both the job and the contractor. Consideration should be

given to the effectiveness of the planning; the contractor’s performance; and how

smoothly the job went.

Lessons learnt should be recorded and used to influence future decisions.

39


Construction (Design and Management)

Regulations 2015 (CDM)

The aim of the Construction (Design and Management) Regulations 2015 (CDM) is to

integrate health and safety into the management of a construction project and to

everyone involved to work together.

CDM requires:

• A realistic project programme with adequate time allowed for planning,

preparation and the work itself

• Early appointment of duty holders

• Sufficient information, instruction, training and supervision to enable all duty

holders to carry out their jobs in a way that secures health and safety

• Early (i.e. starting at the design phase) identification and reduction of risks

through application of the general principles of prevention

• Co-operation and communication between duty holders and co-ordination

of work;

• Consulting with and engaging workers to promote and develop effective

measures to secure health, safety and welfare

• Health and safety resources proportionate to the risk and complexity of the

project

Processes for risk management, provision of information and the cooperation and

coordination of duty holders are managed through clearly defined roles and

responsibilities and the use of two key documents:

• the construction phase plan

• the health and safety file

Both of these documents are discussed later.

Requirements

All Projects

• Workers with the right skills, knowledge, training and experience

• Contractors providing appropriate supervision, instruction and information

• A written construction phase plan

Projects where more than one contractor is involved

In addition to the main requirements for all projects listed above:

• principal designer must be appointed

• principal contractor must be appointed

• health and safety file must be created

40


Notification

A project is notifiable to the HSE if the construction work on a construction site is

scheduled to:

• last longer than 30 working days and have more than 20 workers working

simultaneously at any point in the project,

or

• exceed 500 person days

Where a project is notifiable, the client must give notice in writing to the HSE as soon

as is practicable before the construction phase begins.

The notice must contain the following:

• The date of forwarding the notice

• The address of the construction site or precise description of its location

• The name of the local authority where the construction site is located

• A brief description of the project and the construction work that it entails

• The clients contact details - name, address, telephone number and (if

available) an email address

• The principal designers contact details - name, address, telephone number

and (if available) an email address

• The principal contractors contact details - name, address, telephone number

and (if available) an email address

• The date planned for the start of the construction phase

• The time allocated by the client for the construction work

• The planned duration of the construction phase

• The estimated maximum number of people at work on the construction site

• The planned number of contractors on the construction site

• The name and address of any contractor already appointed

• The name and address of any designer already appointed

• A declaration signed by or on behalf of the client that the client is aware of

the client duties under these Regulations

The easiest way to notify any project is to use the electronic notification form (F10) at

www.hse.gov.uk/forms/notification/f10.htm.

The client must ensure that an up-to-date copy of the notice is displayed in the

construction site office, so it is accessible to anyone working on the site and can be

easily understood. The form must be periodically updated where necessary.

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Duty Holders and their Duties

Domestic clients

People who have construction work carried out on their own home, or the home of

a family member that is not done as part of a business, whether for profit or not.

Domestic clients are in the scope of CDM 2015, but their duties as a client are

normally transferred to the contractor, on a single contractor project or the principal

contractor, on a project involving more than one contractor. However, the

domestic client can choose to have a written agreement with the principal designer

to carry out the client duties.

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Commercial clients

Organisations or individuals for whom a construction project is carried out.

Make suitable arrangements for managing a project. This includes making sure:

• other duty holders are appointed

• enough time and resources are allocated

• relevant information is prepared and provided to other duty holders

• the principal designer and principal contractor carry out their duties

• welfare facilities are provided

Principal designers

Designers appointed by the client in projects involving more than one contractor.

They can be an organisation or an individual with enough knowledge, experience

and ability to carry out the role.

• Plan, manage, monitor and coordinate health and safety in the pre-

construction phase of a project. This includes:

• identifying, eliminating or controlling foreseeable risks

• ensuring designers carry out their duties

• Prepare and provide relevant information to other duty holders

• Provide relevant information to the principal contractor to help them plan,

manage, monitor and coordinate health and safety in the construction

phase

Principal contractors

Contractors appointed by the client to coordinate the construction phase of a

project where it involves more than one contractor.

• Plan, manage, monitor and coordinate health and safety in the construction

phase of a project. This includes:

• liaising with the client and principal designer

• preparing the construction phase plan

• organising cooperation between contractors and coordinating their work

• Ensure: suitable site inductions are provided

• reasonable steps are taken to prevent unauthorised access

• workers are consulted and engaged in securing their health and safety

• welfare facilities are provided

Designers

As part of a business, prepare or modify designs for a building, product or system

relating to construction work.

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• When preparing or modifying designs, to eliminate, reduce or control

foreseeable risks that may arise during construction, maintenance and use of

a building once it is built

• Provide information to other members of the project team to help them fulfil

their duties

Contractors

Those who do the actual construction work and can be either an individual or a

company.

• Plan, manage and monitor construction work under their control so that it is

carried out without risks to health and safety.

• For projects involving more than one contractor, coordinate their activities

with others in the project team – in particular, comply with directions given to

them by the principal designer or principal contractor.

• For single-contractor projects, prepare a construction phase plan.

Workers

The people who work for or under the control of contractors on a construction site.

• They must: be consulted about matters which affect their health, safety and

welfare

• take care of their own health and safety and others who may be affected by

their actions

• report anything which is likely to endanger either their own or others’ health

and safety

• cooperate with their employer, fellow workers, contractors and other duty

holders

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Information for Construction Projects Involving More Than One

Contractor

The Construction Phase Plan

The client must ensure that a construction phase plan for the project is prepared

before the construction phase begins. The plan outlines;

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• the health and safety arrangements for managing the significant health and

safety risks associated with the construction phase of a project;

• the site rules

• any specific measures concerning any work involving risks:

o Work which puts workers at risk of burial under earth falls, engulfment in

swampland or falling from a height

o Work which puts workers at risk from chemical or biological substances

o Work with ionising radiation requiring controlled or supervised areas

o Work near high voltage power lines

o Work exposing workers to the risk of drowning

o Work on wells, underground earthworks and tunnels

o Work carried out by divers having a system of air supply

o Work carried out by workers in caissons with a compressed air

atmosphere

o Work involving the use of explosives

o Work involving the assembly or dismantling of heavy prefabricated

components

For single-contractor projects, the contractor must ensure the plan is prepared.

For projects involving more than one contractor, it is the principal contractor’s duty

The plan is the basis for communicating the arrangements to all those involved in the

construction phase, so it should be easy to understand and as simple as possible. The

emphasis should be on the provision of information that is:

• relevant to the project

• sufficiently detailed to clearly set out the arrangements, site rules and special

measures needed to manage the construction phase

• proportionate to the scale and complexity of the project and the risks

involved

The following list of topics should be considered when drawing up the plan:

• a description of the project such as key dates and details of key members of

the project team;

• the management of the work including:

• the health and safety aims for the project;

• the site rules;

• arrangements to ensure cooperation between project team members and

coordination of their work, eg. regular site meetings;

• arrangements for involving workers;

• site induction;

• welfare facilities; and

• fire and emergency procedures;

• the control of any of the specific site risks listed in Schedule 3 where they are

relevant to the work involved.

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Health and Safety File

The health and safety file is a file appropriate to the characteristics of the project,

containing relevant health and safety information to be taken into account during

any subsequent project. The file is only required for projects involving more than one

contractor.

The file must contain information about the current project likely to be needed to

ensure health and safety during any subsequent work, such as maintenance,

cleaning, refurbishment or demolition. When preparing the health and safety file,

information on the following should be considered for inclusion:

• a brief description of the work carried out

• any hazards that have not been eliminated through the design and

construction processes, and how they have been addressed (e.g. surveys or

other information concerning asbestos or contaminated land)

• key structural principles (e.g. bracing, sources of substantial stored energy –

including pre- or post-tensioned members) and safe working loads for floors

and roofs

• hazardous materials used (e.g. lead paints and special coatings)

• information regarding the removal or dismantling of installed plant and

equipment (e.g. any special arrangements for lifting such equipment)

• health and safety information about equipment provided for cleaning or

maintaining the structure

• the nature, location and markings of significant services, including

underground cables; gas supply equipment; fire-fighting services etc.

• information and as-built drawings of the building, its plant and equipment

(e.g. the means of safe access to and from service voids and fire doors)

There should be enough detail to allow the likely risks to be identified and addressed

by those carrying out the work. However, the level of detail in the health and safety

file should be proportionate to the risks and the file should not include things that will

be of no help when planning future construction work.

All Information should be clear, concise and easily understandable; and in a

conveniently accessible form.

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Summary Diagram of CDM Regs.

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Element 2: How health and safety

management systems work and what

they look like

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2.0 Learning Outcomes On completion of this element, candidates should be able to work within a health

and safety management system, recognising what effective general policy,

organisation and arrangements should look like

Assessment criteria

2.1 Give an overview of the elements of a health and safety management system

and the benefits of having a formal/certified system

2.2 Discuss the main ingredients of health and safety management systems that

make it effective – general policy, organisation, arrangements

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2.1 What they are and the benefits

they bring The main components of a Health and Safety Management System (HSMS) include

both policy – a ‘mission statement’ for health and safety that provides a mechanism

for management control and accountability – and arrangements for

implementation, monitoring (including audit) and continual improvement.

Formalising these arrangements removes the potential arbitrariness of processes

developed by a few individuals and helps to support a management culture that

can involve the whole workforce.

A HSMS can prioritise the planning, organising, control, monitoring and review of

measures to protect people from work risks. It’ll help allocate the correct resources,

achieving effectiveness and efficiency.

Whatever management model is used, it’s likely to be based on the principle of

plan, do, check and act (PDCA – also known as the ‘Deming cycle’). Numerous

types of management system are based upon this principle, notably ISO 45001 and

HSG65. See below.

HSG 65

Following is a breakdown of what each section should cover (based on HSG 65).

Plan

• Think about where you are now and where you need to be.

• Determine Policy

ISO 45001

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o Say what you want to achieve, who will be responsible for what, how

you will achieve your aims, and how you will measure your success.

You may need to write down this policy and your plan to deliver it.

o Decide how you will measure performance. Think about ways to do

this that go beyond looking at accident figures; look for leading

indicators as well as lagging indicators. These are also called active

and reactive indicators.

o Consider fire and other emergencies. Co-operate with anyone who

shares your workplace and co-ordinate plans with them.

o Remember to plan for changes and identify any specific legal

requirements that apply to you.

Do

• Identify your risk profile

o Assess the risks, identify what could cause harm in the workplace, who

it could harm and how, and what you will do to manage the risk.

o Decide what the priorities are and identify the biggest risks.

• Organise your activities to deliver your plan.

o Involve workers and communicate, so that everyone is clear on what is

needed and can discuss issues – develop positive attitudes and

behaviours.

o Provide adequate resources, including competent advice where

needed.

• Implement your plan

o Decide on the preventive and protective measures needed and put

them in place.

o Provide the right tools and equipment to do the job and keep them

maintained.

o Train and instruct, to ensure everyone is competent to carry out their

work.

o Supervise to make sure that arrangements are followed.

Check

• Measure your performance

o Make sure that your plan has been implemented – ‘paperwork’ on its

own is not a good performance measure.

o Assess how well the risks are being controlled and if you are achieving

your aims. In some circumstances formal audits may be useful.

• Investigate the causes of accidents, incidents or near misses

Act

• Review your performance

• Learn from accidents and incidents, ill-health data, errors and relevant

experience, including from other organisations.

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o Revisit plans, policy documents and risk assessments to see if they need

updating.

o Take action on lessons learned, including from audit and inspection

report

The benefits of HSMS’s

Occupational health focus

Significant occupational health risks can be assigned the correct level of

importance and be properly resourced.

This isn’t always the case with ad hoc H&S processes, which depend largely on the

experience of available H&S practitioners (including occupational hygienists) and

the internal structures of the organisation. Also, employees generally have a greater

understanding of safety risks than health risks. When implemented correctly, an HSMS

should address these issues and strike the right balance in controlling all risks.

H&S is as important as other business objectives

Many organisations struggle to give H&S objectives the same importance as other

business objectives. At times, this failure threatens the survival of an organisation; at

others, it can lead to prosecutions and other penalties. A correctly implemented

HSMS will make sure that appropriate H&S objectives are set by focusing on policy

and the process of setting objectives and their delivery through the management

programme.

H&S in relation to quality

British and international standards support the drive towards ‘customer first’ services,

and as a result quality is high on the agenda. Quality isn’t usually a legal

requirement, but health, safety and (often) environmental performance are. The

development of formal HSMS’s should make sure that sufficient importance is given

to H&S performance, which typically has more impact on employees than on

customers.

Legal compliance is easier to attain and prove

The development and extension of health and safety law have led to additional

legal requirements. Organisations can have difficulty keeping up to date with the

requirements relevant to their sectors.

An HSMS helps identify relevant statutory provisions and creates a framework of

procedures to make sure that the organisation consistently complies with the law.

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Proving ‘reasonably practicable’

In the UK and some other countries, you may have to prove that you’ve met

‘practicable’ and ‘reasonably practicable’ requirements in order to demonstrate

legal compliance. When a balanced management system is implemented, and risk

management is systematically applied – based upon the proportionality of risk – it

should be easier to prove compliance. For example, quality management systems

(QMS’s) have been used to prove due diligence for compliance with food safety

law and to ensure product safety.

Helping system integration

Many organisations started with a QMS, then adopted an environmental

management system and are now considering an HSMS. The structures are similar,

and adopting an HSMS will mean that if, at a later date, you decide you need a

holistic business risk management approach, integration should be straightforward.

Continual improvement

This process aims to improve some part of the HSMS at any one time, rather than

trying to improve all the elements in the system simultaneously. This structured and

very practical approach allows the organisation to improve areas that aren’t

operating effectively or efficiently, using reviews and audits to identify systematically

the opportunities for improvement.

Increasing the effectiveness of initiatives

The longevity of management and other health and safety-related initiatives in

organisations varies. Many organisations use campaigns and awareness-raising

programmes to improve knowledge and encourage participation in health and

safety issues. An HSMS requires continual improvement and this can increase the

duration and effectiveness of management initiatives, allowing them to adapt and

develop in line with policy commitments.

Visible commitment of ‘top managers’

HSMS’s, like other management systems, formally require ‘top management’ to be

involved in and committed to the system. This is carefully documented through

setting policies and objectives and through regular reviews to check the results

achieved. Once the objectives are set, senior managers must visibly demonstrate

their commitment to achieving them. It’s consistently argued that such commitment

is essential for ‘world-class’ H&S results – an HSMS demands it.

Regular audits

Audits present an opportunity for benchmarking (e.g. through creating audit teams

with members from different departments or from outside the organisation) and

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identifying opportunities for improvement. External certification and assurance

bodies – which audit against applicable standards – can help to identify non-

compliances and necessary improvements.

Part of corporate governance

There’s an ever-increasing requirement for directors to follow codes of practice and

meet the standards expected in public life. Demonstrating that H&S controls are

adequate is an important part of meeting this responsibility, and independent audit

to externally set standards is an impartial way of achieving this. Regular

management review of audit reports and HSMS results meets governance

requirements for H&S risks.

Reassuring the enforcement authorities

Enforcement authorities require organisations to comply with applicable health and

safety legislation. The formality and systematic approach to compliance required by

an HSMS encourages confidence in the organisation’s internal approach. In

the UK, for example, the HSE’s HSG65 states: “If you do follow the guidance you will

normally be doing enough to comply with the law.”

A focus on H&S resources

An HSMS requires resources to be allocated in all functions and at all levels

throughout the organisation. A risk-based approach which ensures that the scale of

a management system is proportionate to the risks and necessary control measures

makes such resource allocation intrinsic to the whole organisation. This is, in part,

what the Turnbull Report requires of London Stock Exchange-listed companies.

Emergency preparedness

HSMSs should make sure that suitable resources are made available to respond to

foreseeable emergencies. This may include provision for contacting outside

agencies, including emergency services, and developing and communicating on-

and offsite emergency plans. An HSMS places such planning in a proper

management context.

Managers have a ‘finger on the pulse’

The HSMS includes defect (‘non-conformance’) reporting, which directs managers’

attention to opportunities for correcting problems and making improvements.

Managers need to address health and safety issues effectively, no matter how busy

they are. Alerting managers to problems and actions they can take or sanction

continually reminds them of their critical health and safety role.

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Systematic risk management

Perhaps the biggest challenge is to comply with the legislative need to plan,

organise, control, monitor and review the preventive measures in place to control

significant risks. An HSMS creates a structured system for compliance with the

requirements of both applicable legislative codes and industrial sector best

practice.

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2.2 What good health and safety

management systems look like The Health and Safety at Work Act requires…

“…every employer to prepare and as often as may be appropriate

revise a written statement of his general policy with respect to the

health and safety at work of his employees and the organisation

and arrangements for the time being in force for carrying out that

policy, and to bring the statement and any revision of it to the

notice of all of his employees.”

The Management of Health and Safety at Work Regulations requires employers to…

“…make appropriate arrangements for the effective planning,

organisation, control, monitoring and review of their preventative

and protective measures.”

Many organisations divide their health and safety documentation into three main

sections:

1. Written Statement (the What)

2. Organisation (the Who)

3. Arrangements (the How)

Organisation means people and their responsibilities. Arrangements means systems

and procedures.

The organisation and arrangements sections are further sub-divided, according to

the characteristics of the business.

Written Statement

If the total number of employees in an undertaking is five or more, the employer

must prepare a written policy statement.

The safety policy requirement is intended to make employers think carefully about

the nature of the hazards in the workplace, and about what precautions are

necessary to make the workplace safe and healthy for their employees.

The statement is also intended to increase employees’ awareness of the employer’s

policy and arrangements for safety. Employers are required to bring the statement

to the notice of all their employees. The statement should set out the employer’s

aims and objectives for improving health and safety at work and the organisation

and arrangements in force for achieving those objectives.

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As working conditions continually change and new hazards arise and control

measures alter, employers are required to keep their policy up to date. Revisions are

necessary if systems, procedures or responsible persons change. Any revisions to the

statement must also be brought to the notice of employees.

The purpose of the safety policy statement is to set out the employer’s aims and

objectives for improving health and safety at work after a careful consideration of

the nature of the workplace hazards and the appropriate controls.

The written statement of policy should be shaped by the organisations: general

intentions; approach and objectives (or vision); and the criteria and principles upon

which it bases its action.

The safety policy statement should, as a minimum, include commitments to:

• the prevention of occupational injuries and ill health

• compliance with applicable legal requirements, and other relevant

standards

• continual improvement in health and safety management and

performance

• provide a framework for setting and reviewing health and safety

objectives

Better safety policy statements will attempt to capture the organisations basic

philosophy for the management of health and safety and explain its importance

relative to other organisational objectives, e.g.:

“Prevention is not only better, but cheaper than cure. There is no necessary conflict

between humanitarianism and commercial considerations. Profits and safety are not

in competition. On the contrary, safety is good business.”

“The identification, assessment and control of health and safety and other risks is a

managerial responsibility and of equal importance to production and quality.”

In addition, the health and safety policy should be:

• appropriate to the nature and scale of organisation’s health and safety

risks

• documented, implemented and maintained

• signed by the chief executive officer / managing director and dated

• communicated to all persons working under the control of the

organisation

• available to all other interested parties

• periodically reviewed to ensure that it remains relevant and appropriate

to the organisation

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Organisation

Every employee in an organisation has legal and operational responsibilities to

contribute towards the effective management of health and safety. Leadership is

the key to building an effective health and safety management system and

developing a positive safety culture, and a top down approach is essential.

A senior board member should take direct responsibility for championing and co-

ordinating the efforts. All directors and senior managers should actively support the

development of the safety management system and be visible in practically

demonstrating their commitment.

Managers at all levels should communicate the key values of the policy through

their actions and all operational staff should ‘buy in’ to the importance of health

and safety management in the organisation.

In terms of practical allocation of roles and responsibilities it may be easier to

recognise that everyone employed by the organisation is an employee and

therefore has the same basic responsibilities; and that additional responsibilities are

added as a result of seniority in the management structure or as a consequence of

being appointed to a role with specific safety responsibilities.

All Employees

All employees have to:

• take reasonable care of their own health and safety and the health and

safety of others who may be affected by their work

• cooperate with supervisors and managers on health and safety matters

• properly use and not interfere with anything provided to safeguard their

health and safety

• report all health and safety concerns to an appropriate person

Supervisors and Managers

In addition to the basic employee’s responsibilities supervisors and managers may

well have responsibility for specific groups of workers or specific parts of the

workplace.

Additional responsibilities may include ensuring that:

• risk assessments are current and effective

• employees are working in accordance with safe systems of work

• the workplace is kept clean and tidy and free of obstructions

• adequate supplies of personal protective equipment (PPE) are available

• accidents and near misses are reported and properly investigated

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Directors / Senior Management Team

The senior management team is responsible for:

• Establishing effective ‘downward’ communication systems and

management structures

• Considering health and safety implications of all business decisions

• Setting targets for improving the organisations health and safety

performance

• Regularly reviewing the organisations health and safety performance at

board level

• Making provision for adequate resources, including competent health

and safety advice

Health and Safety Advisor / Manager

The role needs to be clearly defined, particularly regarding its advisory and

management responsibilities. This may vary greatly depending on the size of the

organisation and its hazard profile. Examples of typical responsibilities include:

• advising the board or senior management on strategic health and safety

issues

• formulating and developing specific aspects of the health and safety

management system, e.g. the practical arrangements for risk assessment

• day-to-day implementation and monitoring of policy and plans including

accident and incident investigation, reporting and analysis

• reviewing performance and auditing of the health and safety

management system

First-aiders

First aiders’ specific duties may include:

• Provision of first aid treatment to employees

• Recording of all treatment given

• Liaison with emergency services

• Maintenance of first aid kit / first aid room

Fire Warden / Marshall

A fire warden may be allocated a range of duties relating to periodic checks of fire

precautions or actions in case of fire, such as:

• Sweeping an allocated area, encouraging people to leave via the

nearest fire escape route and proceed to the assembly point

• turning off equipment and closing doors and windows as they go

• Informing the person in charge of the evacuation that their area is clear

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Performance Management

To enable effective performance management, it is important that allocated

responsibilities are clearly defined, understood and accepted, and able to be

monitored objectively. People with specific responsibilities for health and safety

should be held accountable. This may involve the use of existing personnel systems

such as:

• individual job descriptions containing references to health and safety

responsibilities

• performance review and appraisal systems measuring and rewarding

individual performance in health and safety activities

• disciplinary procedures for acting upon serious failures in health and safety

performance

Arrangements

The breadth and depth of the systems and procedures contained in the

arrangements section should be proportionate to the size of the organisation and its

hazard profile. A typical arrangements section should include procedures for the

effective planning, organising, control, monitoring and review of the following:

Health and safety risk management

• Identification of hazards and risk

• Specifying preventive and protective measures

• Action planning with priorities and responsibilities

• Periodic review

Consultation with employees

• Trade union safety representatives and safety committees

• Representatives of Employee Safety

• Other arrangements for consultation

Safe plant and equipment

• Purchasing of new equipment

• Preventative maintenance

• Defect reporting

Safe handling and use of substances

• Purchasing of hazardous substances

• Undertaking COSHH assessments

• Informing employees

• Reviewing assessments

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Information, instruction and supervision

• Provision of relevant health and safety information

• Supervision and training of new recruits and young workers

Competency for tasks and training

• Induction training

• Job specific training

• Training records

Accidents, first aid and work-related ill health

• Undertaking health surveillance

• Health surveillance records

• First aid equipment stored

• Appointed person / first aider

• Record keeping and reporting under RIDDOR

Monitoring

• Proactive monitoring of work conditions and working practices

• Investigation of accidents and work-related sickness

Emergency procedures

• Fire risk assessments

• Checks of escape routes, fire extinguishers and alarms

• Evacuation drills

Set out below is what a HSMS might look like in practice (based on ISO 45001).

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Keeping it current

It is important that the HSMS is reviewed in order to keep it up to date. The

circumstances that would prompt a review are:

• The structure of an organisation changes

• Introduction of new processes and/or technology

• New shift patterns

• Contracting work out

• A change in company premises and/or expansion requiring the

acquisition of additional premises

• Changes in legislation/ACOP’s/Guidance

• Results of health and safety audits

• Findings from accident/incident investigations

• Results of risk assessments

• Following enforcement action

• Following consultation with staff

• Requested by a third party (such as insurers)

• After a period of time has elapsed since the last review

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Element 3: Managing risk -

understanding people and processes

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3.0 Learning Outcomes On completion of this element, candidates should be able to:

• Positively influence health and safety culture and behaviour to improve

performance in their organisation

• Do a general risk assessment in their own workplace – profiling and prioritising

risks, inspecting the workplace, recognising a range of common hazards,

evaluating risks (taking account of current controls), recommending further

control measures, planning actions

• Recognise workplace changes that have significant health and safety

impacts and effective ways to minimise those impacts

• Develop basic safe systems of work (including taking account of typical

emergencies) and knowing when to use permit-to-work systems for special

risks

Assessment criteria

3.1 Describe the concept of health and safety culture and how it influences

performance

3.2 Summarise how health and safety culture at work can be improved

3.3 Summarise the human factors which positively or negatively influence behaviour

at work in a way that can affect health and safety

3.4 Explain the principles of the risk assessment process

3.4a Produce a risk assessment of a workplace which considers a wide range of

identified hazards (drawn from elements 5–11) and meets best practice standards

(‘suitable and sufficient’)

3.5 Discuss typical workplace changes that have significant health and safety

impacts and ways to minimise those impacts

3.6 Describe what to consider when developing and implementing a safe system of

work for general activities

3.7 Explain the role, function and operation of a permit-to-work system

3.8 Discuss typical emergency procedures (including training and testing) and how

to decide what level of first aid is needed in the workplace

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3.1 Health and Safety Culture Every group of people develops a 'culture'. In an organisation with a good safety

culture everyone puts health and safety high on the list and adopts the same

positive attitudes to health and safety. This influences the ways in which individuals in

the group handle new events and decisions.

Meaning of health and safety culture

Safety culture has been defined as consisting of shared values (what is important)

and beliefs (how things work) that interact with an organisation’s structure and

control systems to produce behavioural standards (the way we do things round

here). Poor health and safety culture is likely to lead to weaknesses due to problems

at the person–work interface – perhaps because of poor training or communication.

Indicators of an organisation’s health and safety culture

Organisations with a positive safety culture are characterised by communications

founded on mutual trust, by shared perceptions of the importance of safety and by

confidence in the efficacy of preventive measures.

Indicators which could be used to assess the effectiveness of an organisation’s

health and safety culture:

• accidents

• absenteeism

• sickness rates

• staff turnover

• level of compliance with health and safety rules and procedures

• complaints about working conditions

Influence of peers on health and safety culture

Culture will inevitably form in any group, through spontaneous interactions between

the members, leading to patterns and norms of behaviour.

When a new employee is “learning the ropes”, “the ropes” represent the

organisational culture, or “the way we do things around here”.

In an organisation the personal vision, goals, beliefs, values and assumptions of the

leader will be imposed within the group and reinforced as members are recruited

and promoted on the basis of consistent thoughts and values.

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3.2 Improving health and safety

culture A company wishing to improve its performance will need to judge its existing

practices against them:

• Leadership and commitment from the top which is genuine and visible. This is

the most important feature.

• Acceptance that it is a long-term strategy which requires sustained effort and

interest.

• A policy statement of high expectations and conveying a sense of optimism

about what is possible supported by adequate codes of practice and safety

standards.

• Health and safety should be treated as other corporate aims, and properly

resourced.

• It must be a line management responsibility.

• ‘Ownership’ of health and safety must permeate all levels of the workforce.

This requires employee involvement, training and communication.

• Realistic and achievable targets should be set, and performance measured

against them.

• Systematic identification and assessment of hazards and the devising and

exercise of preventive systems which are subject to audit and review; in such

approaches, particular attention is given to the investigation of error;

• Incidents should be thoroughly investigated.

• Consistency of behaviour against agreed standards should be achieved by

auditing and good safety behaviour should be a condition of employment.

• Deficiencies revealed by an investigation or audit should be remedied

promptly.

• Management must receive adequate and up-to-date information to be able

to assess performance

Promoting health and safety standards

The active involvement of senior management in the health and safety system is

very important. They need to be seen to lead by example when it comes to health

and safety. Here are some examples of what would be considered good practice:

• Health and safety should appear regularly on the agenda for board meetings

• The chief executive can give the clearest visibility of leadership, but some

boards find it useful to name one of their number as the health and safety

‘champion’

• The presence on the board of a health and safety director can be a strong

signal that the issue is being taken seriously and that its strategic importance is

understood

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• Leadership is more effective if visible – board members can reinforce health

and safety policy by being seen on the ‘shop floor’, following all safety

measures themselves and addressing any breaches immediately

• Supporting worker involvement in health and safety, above the minimum

legal duty to consult worker representatives, can improve participation and

help demonstrate commitment

• Good health and safety performance can be celebrated at central and

local level

Below is a checklist that senior managers and leaders of organisations can use to

conduct a ‘self-audit’ of their promotion of good health and safety standards.

Do you demonstrate the board’s commitment to health and safety?

Do you ensure appropriate board-level review of health and safety?

Do you ensure your organisation, at all levels including the board, receives

competent health and safety advice?

Do you ensure all staff – including the board – are sufficiently trained and

competent in their health and safety responsibilities?

Do you ensure that your workforce, particularly safety representatives, are

consulted properly on health and safety matters, and that their concerns are

reaching the appropriate level including, as necessary, the board?

Do you ensure that systems are in place to ensure your organisation’s risks are

assessed, and that sensible control measures are established and

maintained?

Do you ensure that you know what is happening on the ground, and what

audits or assessments are undertaken to inform you about what your

organisation and contractors actually do?

Do you ensure the board receives information regularly about health and

safety, e.g. performance data and reports on injuries and work-related ill

health?

Do you ensure targets have been set to improve health and safety and you

benchmark your performance against others in your sector or beyond?

Do you ensure that, where changes in working arrangements have significant

implications for health and safety, these brought to the attention of the

board?

Commitment

Senior management commitment is crucial to a positive health and safety culture.

This commitment can produce higher levels of motivation and concern for health

and safety throughout the organisation. It is best indicated by the proportion of

resources (time, money, people) and support allocated to health and safety

management and by the status given to health and safety.

An approach to gaining senior management commitment to improving the health

and safety culture within the organisation can be based around the topics discussed

in 1.1, 1.2 and 1.3., i.e.; making persuasive arguments around moral, financial and

legal reasons for developing a strong health and safety culture.

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Competence

Competence, in the health and safety context, is legally defined within the

Management of Health and Safety at Work Regulations as:

‘the ability to perform to a required standard’, ……. a person shall

be regarded as competent where he has sufficient training and

experience or knowledge and other qualities……

Competency includes experience. After formal training staff may be deemed

‘competent’, but to become fully competent they need to use the training and to

become comfortable and confident with it, i.e. what we really mean when we say

competent includes adequate experience.

A key issue for organisations to consider the competence of staff in relation to the

control of hazards and how this is identified, assessed and managed as part of a

competence assurance system.

When designing a competency system, organisations need to be clear about what

part people play in the prevention of incidents and what part training and

competency play in this. Competency needs to be appropriately linked to risk

assessment and resulting precautionary measures.

Professional competence must be obtained, maintained and developed by taking

all reasonable steps to keep up to date with new developments in occupational

safety and health.

Acknowledgement of the limitations of personal competence is an important part of

the process. Proper preparation and/or appropriate qualifications may be essential

in assuring competence for a specific activity.

Training

Training has an important role to play in improving employees understanding of not

just site-specific hazards and controls but the principles of sensible risk management.

Training is a planned and systematic effort to modify or develop knowledge, skills

and attitude through learning experiences to achieve effective performance in an

activity or range of activities.

Training is one of many interrelated influences on an individual’s behaviour. The

influence of the job as designed, and the organisational culture also impact upon

behaviour.

Safety training may look to influence an individual’s attitude by improving

knowledge of the hazards and the consequences of risky behaviour. However, the

behaviour will only change if the person desires that change, and if the work climate

is supportive of the change.

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Training design

Training design can be approached in accordance with the following five stage

process:

1. Analyse. A training needs analysis will consider the needs of the organisation,

the needs of the target learners, and any job specific requirements.

a. The goals and objectives of the learning event are defined;

b. The existing knowledge, and any other relevant characteristics of the

learners are established; and

c. The practical parameters of the project are determined: timeline;

delivery options; organisational constraints etc.

2. Design. The process begins with a detailed specification of the learning

outcomes and designing an appropriate means of assessing the learners’

fulfilment of the objectives. The training materials content is then developed

and designed. The session is planned to appeal to the learning preferences of

a target group and a suitable range of learning opportunities are designed

using a range of different media.

3. Deliver. The training is delivered to plan. Learners are tested against the

objectives and given opportunity to feedback on the event.

4. Implement. After completion of the training the learners return to the

workplace to implement the learning under an appropriate level of

supervision.

5. Evaluate. Workplace practise should be monitored over short, medium and

longer terms to determine the level of practical success of the training

programme. Has the desired behaviour change been affected? Has the level

of skilled work improved?

Induction training

Training upon recruitment provides an early opportunity to provide new starters with

health and safety information and to make an impression regarding expected

standards of behaviour.

The aims of health and safety induction training are to provide new starters with the

information necessary to keep themselves safe as they familiarise themselves with

the site, its activities and their roles and responsibilities.

Induction training should be arranged in several sessions over time. Bombarding a

new starter with all they need to know about health and safety in a day is unlikely to

be productive. Much of the required learning may be able to be covered through

discovery learning in the workplace.

First day - First day induction training is likely to be provided in a classroom

environment, and would normally cover:

• Health and safety policy statement

• Site health and safety rules;

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• Hazards that may be encountered during the first few days, and the

corresponding precautions;

• Authorisations and limitations regarding movement around site and

specific tasks and activities;

• Emergency procedures including fire evacuation and first aid;

• Reporting procedures for accidents, near misses and dangerous

occurrences; and

• Health surveillance procedures (if relevant)

The training given on day one should be simple and brief; it is often given off-the job,

i.e. in a classroom.

First week - During the first week the following information should be covered,

probably using a combination of workplace learning and supplementary classroom

sessions.

• Health and safety policy;

• Organisation and arrangements for health and safety;

• Line management responsibilities for health and safety;

• Key individuals such as the health and safety manager, safety

representative, first-aider, fire marshals etc.

• Consultation arrangements and the role of safety representatives;

• Specific hazards and risks relevant to the job and area of work;

• Workplace precautions and risk control systems required; and

• Procedures for obtaining PPE etc.

First 3 – 6 months - The remaining needs of the employee should be regularly

reviewed and addressed during the early months of their career. The employee

should remain under an appropriate level of supervision that is proportionate to their

gradually increasing competence.

Refresher training

Competences will erode over time if unpractised – this is one of the main reasons for

regular refresher training for first aiders, providing an opportunity to reinforce and

refresh skills in a safe environment.

Regular refresher training can also provide an opportunity for an exchange of views

between older, experience staff and younger staff which can help with motivation

and norming of attitudes.

Additional training

Additional training will be required whenever workplace changes introduce new

risks or increase existing risks e.g.:

• The introduction of new or significantly changed processes, equipment or

procedures

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• Job change. People who are transferred or promoted into a new job will

invariably face new hazards and responsibilities. Wrong assumptions may be

made about their competence and they may be reluctant to make their

limitations public.

• The introduction of new legislation

• The introduction of new technology

Other drivers for health and safety training include:

• Lessons learnt from investigating accidents or analysing accident trends;

• Risk assessments identifying new hazards or inadequately controlled

hazards; and

• Management systems deficiencies identified through audit

Communication

The art of effective communication is getting the right message (in the right format),

to the right audience at the right time. The communication process can be thought

of as a cycle, involving the message sender and the message receiver. At each

stage there are potential barriers to effective communication

The message sender may not understand the subject matter well enough to be able

to properly encode the message. The language may be inappropriate (too much

jargon) or the pitch may be too complicated or too simplistic for the audience. The

communication channel may be unsuitable, e.g. trying to explain a complex

process through written description, when a pictorial approach would be simpler; or

compromised, e.g. technical failures of telephone systems or email servers, or

background noise interrupting face to face conversation.

The message receiver may not be able to properly decode the message because

of:

• unfamiliarity with the subject matter or technical jargon;

• disability or illness;

• impairment through drugs or alcohol;

• wearing of personal protective equipment.

The feedback is subject to the same challenges as the original message with regard

to communication channels.

Merits and Limitations of Methods of Communication

Verbal Communication

May be direct (face to face), or indirect. Indirect verbal communication may

involve sight of the message receiver (e.g. video conferencing) or may not (e.g.

telephone call).

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A great deal of direct communication is through non-verbal cues or body language;

this is lost with a telephone call.

The merits of verbal communication are that it is immediate and provides an

immediate opportunity for feedback and clarification. The limitations are that there

is no tangible information for future reference, or evidence.

Written Communication

Historically the major limitation of written communication (traditional letters and

internal memos) was the delay between stages of the process. Email has largely

addressed this issue but has its own limitations e.g. circulating to too wide an

audience so that ownership of the action is lost; and getting an appropriate,

business formal tone to the message.

Written communication allows for complex messages to be conveyed and

recorded, providing the reader with an opportunity to reflect on and revisit the

message before determining the next course of action. With modern software

applications it is easy to include complex diagrams and photographs within written

reports.

Literacy levels can be a major barrier to written communication.

Graphic Communication

“A picture paints a thousand words”

The major limitation of pictorial communication is that without an explanation a

picture is open to interpretation. The merits are that well designed safety signs,

conforming to international standards eliminate difficulties with language and

literacy and convey a consistent message to an international workforce.

As well as considering the most suitable medium for the type of message

consideration should be given to the preferences of the audience.

When following driving directions some drivers like to follow a map, others prefer

written step by step instructions, and others listen to verbal instructions from a

portable route planner.

With modern technology using combinations of media for any given message is

easier than ever.

Use and Effectiveness of Noticeboards and Health and Safety

Media

In marketing terminology communication that is aimed at influencing the attitude of

a community toward some cause or position is termed propaganda and the media

that is used to ‘sell’ the concept is termed collateral.

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There are many tools and techniques available to help sell the importance of health

and safety management within the workplace, including:

• Health and safety notice boards

• Employee handbooks

• Toolbox talks

• Videos

• Posters

Health and Safety Notice Boards

A well-managed health and safety notice board can be an effective means of

sharing information with the workforce.

Typically, the notice board would present the required statutory information, such as:

• Health and safety law poster

• Employers liability insurance certificate

• First aid arrangements

• Emergency arrangements – what to do in case of fire etc

• The latest news, and specific local information, guidance and warnings

To be effective the information will need to be current and relevant; the content

must be managed, and the notice board kept in good order; and staff must be

made aware that it is intended to be useful means of keeping them informed.

Toolbox talks

A ‘toolbox talk’ is a short presentation to the workforce on a single aspect of health

and safety. The term originates in the use of the toolbox as a stage for the foreman

to brief his team on the health and safety topic of the day.

The talk should: be relatively brief (10/15 minutes); should focus on a relevant health

and safety issue (e.g. improving housekeeping, safe use of ladders, wearing of PPE

etc.); and should have clearly defined SMART objectives so that progress against the

intended impact can be monitored.

The person who delivers the talk should:

• be a good speaker

• be committed to what they say

• know enough about the topic to be able to answer any questions that

may be asked

• be able to practically demonstrate skills where necessary

If the topic is relevant and the speaker is committed, toolbox talks can be an

effective means of improving worker’s knowledge and encouraging worker

participation in health and safety initiatives.

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Employee handbooks

An employee (staff) handbook or manual is typically given to employees during their

induction. The handbook contains information about company policies and

procedures and may also form part of the terms and conditions of employment.

The employee handbook can be an important source of information about health

and safety, e.g. the policy statement, the employer and employee responsibilities,

hazard information, site rules and what to do if an accident or ill-health occurs.

To be successful handbooks should be written especially for employees, in plain

English, avoiding jargon and using images and colours to attract the reader’s

attention

The handbook should be used to support and reinforce induction and other training

sessions – it should not be the only source of health and safety information.

Posters

Safety posters in the workplace can be a useful tool to promote safety and proved

employees with a visible reminder of job hazards.

Posters are no substitute for proper training and procedures but can be useful in

reinforcing existing information.

Posters can be serious and shocking or may try to attract attention through humour

and cartoons. They should be displayed in the immediate vicinity of the issue they

are intended to draw attention to; and should be changed regularly to remain

current and topical.

With modern technology posters can be personalised to an individual workplace by

incorporating company logos and banding and can be created in a totally

bespoke way.

Training DVDs

Training films can be useful in providing a consistent message to workers in a multisite

business without the expense of running formal training courses at multiple locations.

DVDs can be played individually through PCs or used for group sessions through a

large screen TV or projector.

Training videos are very often used for new staff inductions but can also be effective

in other areas such as the introduction of new technology or new policies and

procedures.

As a visual medium training films can effectively convey the instructor's visual cues -

gestures, posture and facial expressions that aid communication and

comprehension.

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It is important to ensure that training films are relevant to the organisation and the

specific audience e.g. a film of hospital patient handling may have little relevance

on a manual handling course for engineering apprentices.

With modern technology filming in the workplace is more affordable and is

becoming increasingly popular.

Cooperation and Consultation

Worker involvement on health and safety is simply a two-way process where

employers and employees:

• talk to one another

• listen to one another's concerns

• raise concerns and solve problems together

• seek and share views and information

• discuss issues in good time

• consider what everyone has to say

• make decisions together

Talking to, listening to and involving employees helps to:

• make the workplace healthier and safer

• improve performance

• raise standards

The passing of information to employees is a one-way process. Employees are the

passive recipients of information. Consultation is a two-way process. Employees are

active participants in the process and have an opportunity to express their opinions.

Ownership of health and safety must be built at all levels and the knowledge that

employees have of their own work is a valuable resource. Employees should be

actively involved safety workshops, risk assessments, plant design etc.

The employer has duties to provide employees with relevant health and safety

information under the Health and Safety at Work Act, The Management of Health

and Safety at Work Regulations, and all other risk assessment driven legislation.

The Health and Safety at Work Act requires employers to provide employees with

“information, instruction, training and supervision necessary to ensure, so far as is

reasonably practicable, their health and safety at work.”

The information to be supplied should include: information about hazards at the

workplace and methods of avoiding them; and information made available by

manufacturers and suppliers of materials used at work; and might also include

statutory information, e.g. copies of Regulations or Approved Codes of Practice,

official HSE publications, e.g. guidance notes or technical data notes, industry

standards etc.

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The Management of Health and Safety at Work Regulations reinforces the position

requiring the provision of “comprehensible and relevant information on the risks to

employee’s health and safety identified by the risk assessment; and the preventive

and protective measures”

Information provided should be suitable given the level of training, knowledge and

experience of the employee, and taking account of any language difficulties or

disabilities. Information can be provided in any suitable format as long as it can be

understood by everyone.

Employers are legally required to provide basic health and safety information to

employees by either:

• Displaying an approved poster in a prominent position in each workplace

• Providing each worker with a copy of the equivalent leaflet

The employer is no longer required to provide further information in writing, either on

the poster, or with the pocket card, giving workers the contact details of the

enforcing authority, and HSE’s Employment Medical Advisory Service (EMAS).

Workers are now advised to phone the HSE Info-line to be put in touch with these

services. The new poster has optional boxes for health and safety contact details

What should the workforce be consulted about?

The workforce should be consulted about anything in the workplace that could

substantially affect their health and safety. The specifics will vary from workplace to

workplace. In general, the workforce must be consulted about:

• any change which substantially affects health and safety, e.g. new or

different procedures, new equipment, or new shift patterns

• the arrangements for appointing competent person(s) to help meet

health and safety obligations e.g. health and safety advisor

• information on the likely risks in the workplace and the precautions to be

taken

• the planning of health and safety training

• the health and safety consequences of new technology

Consultation should occur prior to any major changes in health and safety

arrangements.

There is a legal framework requiring consultation with employees on health and

safety issues.

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When the Health and Safety at Work Act came into force it was envisaged that the

Trade Unions would facilitate the consultation process between employer and

employees and the Safety Representatives and Safety Committees Regulations

were introduced to this end.

Since then, the prominence of Trade Unions has diminished, and as a consequence

many UK workers were left without the legal entitlement to be consulted on health

and safety matters. The Health and Safety (Consultation with Employees)

Regulations were introduced to address the issue.

The legal requirements for consultation specify a minimum requirement. Building

upon this legal foundation to create a genuine partnership between employers and

employees creates a culture of collaboration where concerns, ideas and solutions

are shared and acted upon, and where the whole workforce is engaged in the

management of health and safety.

HSE research has shown that stronger employee involvement means:

• better control of common workplace risks

• lower accident rates

• a more positive health and safety climate where employees feel

encouraged to raise concerns

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Union-appointed representatives

The role of the health and safety representative is independent of management.

Representatives are there to represent the interests and concerns of their co-workers

and respond on their behalf. They provide valuable insight, skills and resources that

help employers and their co-workers.

The law sets out what functions representatives have. All representatives, either

appointed by trade unions or elected by employees can:

• represent the workforce on health and safety generally, or make

representations on potential hazards and dangers;

• attend training courses; and

• have contact with inspectors.

Functions of union-appointed health and safety representatives. The law makes it

clear that they can:

• represent employees generally and when employees consult them about

specific matters that will affect the health, safety and welfare of the

employees;

• represent employees when Health and Safety Inspectors from HSE or local

authorities consult them;

• investigate accidents, near misses, and other potential hazards and

dangerous occurrences in the workplace;

• investigate complaints made by an employee they represent about their

health, safety or welfare in the workplace;

• present the findings of investigations to employers;

• inspect the workplace;

• with at least one other appointed representative, request in writing that

employers set up a health and safety committee; and

• attend Health and Safety Committee meetings as a representative of

employees.

Workforce-elected representatives

By law, only representatives appointed by trade unions can examine the causes of

accidents, investigate potential hazards and dangers, inspect the workplace, and

request that employers set up a safety committee.

Employers do not have to allow elected representatives to perform the same

functions but may find the benefits to the business of involving and consulting them

in such ways are actually better.

Functions of health and safety representatives elected by the workforce. The law

makes it clear that they can:

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• take up concerns with employers about potential hazards and dangerous

events in the workplace that may affect the employees they represent;

• take up general matters affecting the health, safety and welfare of the

employees they represent; and

• represent employees when consulted by health and safety inspectors.

Safety Committees

If two or more union-appointed health and safety representatives request in writing

that a health and safety committee is set up it must be done within three months of

the request.

It is also good practice to set up a health and safety committee where there are

several representatives of employee safety or a mix of both safety representatives

and representatives of employee safety.

The following need to be agreed:

• the principles of how it will function best, so it is clear for all employees and

members of the committee

• who the members will be

• what the committee will do

• how it will make decisions and deal with disagreements

• what resources will be needed by committee members

Function and Objectives of Safety Committees

Safety committees have the legal function of keeping under review the measures

taken to ensure the health and safety at work of the employees.

Agreed objectives and terms of reference should be drawn up to establish a

working framework for the safety committee.

A key objective should be the promotion of co-operation between employers and

employees in developing and carrying out measures to ensure effective

management of health and safety at work.

Specific activities might include:

• The study of accident and notifiable disease statistics and trends

• Examination of safety audit reports

• Consideration of reports and factual information provided by enforcing

authority inspectors

• Consideration of reports submitted by safety representatives

• Assistance in the development of works safety rules and safe systems of

work

• Monitoring the effectiveness of the safety content of employee training

• Monitoring the adequacy of safety and health communication and

promotion in the workplace

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• The provision of a link with the appropriate enforcing authority

Membership of Safety Committees

The membership and structure of safety committees should be settled in consultation

between management and the safety representatives.

The committee should be reasonably compact but still able to adequately represent

the interests of management and of all the employees. The number of management

representatives should not exceed the number of employees' representatives.

Management representation should be aimed at ensuring an appropriate level of

knowledge and expertise (by including the likes of work engineers, personnel

managers and supervisors as well as senior managers), and adequate authority to

act on recommendations.

Company specialists, such as: safety officer/adviser, occupational health doctor or

nurse, or occupational hygienist should be ex-officio members and others such as

project engineers, chemists, or training officers should be co-opted as necessary.

The Conduct of Safety Committees

The frequency of meetings will depend on the size of the business, level of inherent

risk, and the stage of development of safety management systems. Sufficient time

should be allowed during each meeting to ensure full discussion of all business.

Meeting dates should be planned well in advance. The schedule of planned

meetings should be published on company notice boards and each committee

member should be sent a personal copy.

The agenda and accompanying papers should be sent to committee members at

least one week before the meeting.

Meetings should not be cancelled or postponed except in very exceptional

circumstances.

Agreed minutes of each meeting should be kept and, as soon as possible after the

meeting, a copy of the minutes should be sent to each member of the committee,

the most senior executive responsible for health and safety and also displayed on

company notice boards or otherwise made available to employees.

Discipline

A strong disincentive to poor health and safety behaviour is a high probability of

detection (and subsequent disciplinary action). When discipline is required to

enforce compliance, it should be consistent and fair, otherwise it can have negative

effects.

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Management should ensure that people are made aware of the likelihood of

detection and disciplinary actions which would be taken against them. It is

important, however, that this should not detract from a 'no blame' reporting culture

which can be very effective for addressing inadvertent breaking of rules.

Management responsibilities for disciplining different working groups, and the

different penalties for different offences, should be clear. Disciplinary actions should

be agreed by the workforce as appropriate for each offence.

Supervisors should also be effective in how they communicate safety methods and

they should be fair and be seen to be fair in how they discipline workers who break

safety rules. Supervisors should always stop poor work when they see it and always

discipline (including verbal warnings) all those involved in any unsafe activity.

Management should ensure that supervisors rigorously apply the agreed disciplinary

procedures, for every disciplinary offence, or review the procedure if this approach

is not always appropriate. Failure to do this can easily create the impression in the

workforce that the supervisors are not serious about safety and that favouritism exists,

where certain people are allowed 'to get away with it' when others are always

punished.

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3.3 How human factors influence

behaviour positively or negatively The HSE definition of human factors is:

“Human factors refer to environmental, organisational and job

factors, and human and individual characteristics which influence

behaviour at work in a way which can affect health and safety.”

A simple way to view human factors is to think about

three aspects:

• the organisation

• the job

• the individual

…and how they impact on people’s health and

safety-related behaviour.

The individual and the job come together to create a risk interface. The job takes

place within the context of the organisational culture – this is often the greatest

influence on workplace behaviour.

Organisational Factors

Organisational factors have the greatest influence on individual and group

behaviour, yet they are often overlooked during the design of work and during

investigation of accidents and incidents. A number of organisational factors have

been found to be associated with good safety performance. Some key ones are:

Leadership

Crucial to a positive health and safety culture. This commitment produces higher

levels of motivation and concern for health and safety throughout the organisation.

It is best indicated by the proportion of resources (time, money, people) and support

allocated to health and safety management and by the status given to health and

safety. The active involvement of senior management in the health and safety

system is very important. Managers need to be seen to lead by example when it

comes to health and safety.

Management style

A ‘humanistic’ approach to management involving more regard by managers for

individuals’ personal and work problems is likely to be effective. This assumes direct

Organisation

IndividualJob

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and rapid action to identify and resolve individual problems in an appropriately

caring and concerned manner.

Visible management

Very important for a health and safety culture. Good managers appear regularly on

the ‘shop floor’ and talk about health and safety. Staff need to believe that all their

managers are committed to health and safety.

Good communications

A high level of communication between and within levels of the organisation and

comprehensive formal and informal communications. An ‘open door’ policy may be

helpful with direct access to the management hierarchy where appropriate. In a

positive culture questions about health and safety should be part of everyday work

conversations. This flows from ownership - the encouragement of personal

responsibility and participation by everyone in health and safety measures.

Learning organisation

The organisation continually improves its own methods and learns from mistakes.

External pressures

Pressures from outside the organisation including a buoyant financial state of the

organisation, and the impact of regulatory bodies.

Committed resources

Time, money and staff devoted to health and safety showing strong evidence of

commitment.

Participation

Staff at different levels in the organisation identify hazards, suggest control measures,

provide feedback, and feel they ‘own’ safety procedures.

Balance of productivity and safety

the need for production is properly balanced against health and safety so that the

latter are not ignored. A balance of health and safety and production goals. People

may believe that high standards of health and safety mean slower work rates and

attempts to increase production may be made through ‘cutting corners’. However,

excessive production pressure creates an atmosphere of distraction and a shortage

of time which makes human errors more likely. Excessive pressure may give rise to

physical or mental health effects in some employees, and to a higher rate of

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‘violations’ of health and safety rules. In a positive culture health and safety is

regarded as important, is promoted, and is not compromised.

High quality training

Training is properly managed; the content is well-chosen and the quality is high.

Counting the hours spent on training is not enough.

Work Environment

A clean and comfortable working environment, including general housekeeping,

the design and layout of the plant.

Job satisfaction

Confidence, trust and recognition of good safety performance impact.

Workforce composition

A significant proportion of older, more experienced and socially stable workers. This

group tend to have fewer accidents, lower absenteeism and less turnover.

Work patterns

Many organisations operate work shift systems, involving work at night, or working

very extended hours. Such working patterns can lead to adverse effects upon

health, particularly for night workers. Reduced levels of performance have been

associated with night working which can also increase the likelihood of accidents

and ill health. Some people experience severe fatigue at work. This can lead to

poorer performance on tasks which require attention, decision-making or high levels

of skill. For safety-critical work the effects of fatigue can give rise to increased risks.

However, all too often, fatigue is seen as a familiar and acceptable part of

everyday life. Working long hours may even be accepted in the culture of a

workplace as ‘the thing to do’.

Job Factors

Successful management of human factors and the control of risk involves the

development of systems designed to take proper account of human capabilities

and fallibilities. Using techniques like job safety analysis, jobs should be designed in

accordance with ergonomic principles so as to take into account limitations in

human performance. Examples of job factors are:

Ergonomics

Ergonomics is about ensuring a good ‘match’ between people and the things they

use. People vary enormously in many ways including: height and weight; physical

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strength ability to handle information. Ergonomics uses information about human

abilities, attributes and limitations to ensure that work, work equipment and

workplaces allow for such variations.

Tasks should be designed in accordance with ergonomic principles to take into

account limitations and strengths in human performance. Matching the job to the

person will ensure that they are not overloaded and are able to make an effective

contribution to the business results. Mismatches between an individual’s capability

and the job requirements create the potential for human error. Matches /

mismatches may be physical or mental. Physical match includes the design of the

whole workplace and working environment. Mental match involves the individual’s

information and decision-making requirements, as well as their perception of the

tasks and risks.

Ergonomic design seeks to: produce equipment that most people can operate

comfortably, conveniently and safely; and to design tasks to reduce human error,

accidents and ill health. Ergonomic problems typically uncovered during accident

investigations include operators being, unable to see important displays, unable to

reach controls, unable to work in a comfortable position, overloaded with too much

information at one time, or not paying attention because there is too little to do.

Task

Working on repetitive and/or fast-paced tasks can lead to lapses of concentration.

Having a job which involves risk or danger could lead to people taking their ‘eye off

the ball’ when it comes to the less dangerous parts of their job. People assigned

tasks for which they are not suited (because of individual factors) could also lead to

problems.

Workload

Both work overload (having too much to do or the work being too difficult) and

work underload (routine, boring and under-stimulating tasks) can be sources of

mental ill-health. working inconvenient and excessive hours

Environment

Jobs that are conducted in poor physical working conditions (such as high levels of

noise, poor ventilation).

Display and controls

The layout of controls and displays can influence the safety of a system. Typical

problems include switches which can be inadvertently knocked on or off, control

panel layouts which are difficult to understand, displays which force the user to

bend or stretch to read them properly, critical displays which are not in the

operator's normal field of view, poorly identified controls which the operator could

select by mistake and emergency stop buttons which are difficult to reach.

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Procedures

Procedures, especially operating and maintenance procedures, are important for

the prevention of accidents and ill health. Written procedures are vital in

maintaining consistency and in ensuring that everyone has the same basic level of

information. They are a key element of a safety management system and an

important training tool. However, poor procedures can be a reason for people not

following recommended actions.

Individual Factors

Every human being is unique and is the sum of a complex range of physical and

psychological characteristics and attributes; and socio-cultural influences. People

bring their personal characteristics and attributes to their work. Individual

characteristics influence behaviour in complex and significant ways and may be

strengths or weaknesses depending on the circumstances.

Some negative personal characteristics may be addressed by ergonomic design;

some characteristics such as skills and attitudes, may be changed or enhanced by

training and development; and others such as personality are thought to be fixed

and cannot be changed.

The following table lists various factors, characteristics or attributes about individuals

that can have an impact on behaviour. Some are then discussed in a little more

detail below.

Physical Psychological Socio-cultural

• Gender

• Age

• Physical abilities

• Physique

• Health state

• Personality traits

• Motivation

• Attitudes

• Perceptions

• Mental abilities

• Family background

• Religion

• Socio economic status

• Education

• Peer pressure/work

culture

Attitude

An attitude represents an individual's degree of like or dislike (positive or negative

view) of an object, where the object may be a person, place, thing, or event. An

attitude involves thoughts, feelings and predispositions to act towards an object.

Attitudes can be modified as a consequence of feedback on behaviour and are

also influenced by the prevailing attitude of a peer group.

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Personality

Personality is made up of a person’s unique characteristic pattern of thoughts,

feelings and behaviours. Personality arises from within the individual and remains

fairly consistent throughout life. Personality has certain fundamental characteristics,

including: Consistency: People act in the same ways or similar ways in a variety of

situations. Psychological and physiological: Personality is a psychological construct,

but is influenced by biological processes and needs. Impact upon behaviours:

Personality does not just influence behaviour; it causes people to act in certain ways.

Multiple expressions: Personality is expressed in thoughts, feelings, close relationships

and other social interactions.

Training and development

Training is: “organised efforts to assist learning through instruction and practise”

Training tends to be practical, dealing with concrete concepts and “hands on” skills.

It may be job specific, seeking to improve performance in a current role; or

developmental – which involves longer term planning to get the best out of an

individual through following career stages.

Motivation

Motivation is the reason to act or the driving force which gives purpose and

direction to behaviour. Motivation can impact upon behaviour in three ways: It gives

purpose to and activates the behaviour, directs the behaviour towards a particular

goal and sustains the behaviour and level of effort (perseverance) until the goal is

achieved. People are generally well motivated at work if they understand the

importance of the objectives they are tasked to achieve, the objectives are realistic

and achievable and satisfactory achievement of the objective results in personal

fulfilment and/or a tangible reward.

Perception

Perception is the process by which sensation is organised and interpreted to make

sense of the world. People take in information through the senses (i.e. touch, sight,

smell, hearing and taste; and other senses regarding positioning and balance). To

prevent sensory overload, the brain is selective. Not all sensory information attracts

attention. Finally, the information is processed and made sense of. The process can

be affected at each stage. The senses may be ineffective due to: illness (could not

smell something because of a cold); disability (could not hear the alarm because of

deafness); or PPE (vision restricted by safety goggles or hearing impeded by ear

defenders). A person’s attention may not be attracted because of focus elsewhere

or may be distracted by something else. The processing of the information may be

flawed because of a lack of knowledge; previous experience; or the influence of

drugs or alcohol.

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Risk Perception

In addition to the possible health and safety effects arising from basic perception of

workplace information it is important to consider the issue of risk perception. HSE

research has identified eight distinct factors that will influence an individual’s

perception of risk

Perceived Control

When people feel in control of a risk they don’t feel stressed by it. This has been

shown to be a key factor in the acceptability of risk.

Psychological Time and Risk

Warnings about the link between smoking and lung cancer have been ineffective in

stopping people smoking, because the time lag between smoking and the onset of

lung cancer can be up to 40 years. If workers in a chemical plant were instructed to

evacuate the workplace because of a leak of a toxic substance that posed the

same level of risk but with imminent effects they would not hesitate.

Familiarity

Research has shown that there is truth in the old adage “familiarity breeds

contempt”. People tend to underestimate familiar risks and overestimate unfamiliar

risks.

Vulnerability

People with the perception of low vulnerability or invulnerability (to the

consequences of smoking, drink driving, sexual activity etc.) are not likely to modify

their behaviour. Some people have an ‘unrealistic optimism’, and assume that the

harmful consequences will happen to someone else. This makes them more willing to

take risks in all areas of their lives, including the workplace. Young men, in particular,

may be prone to feeling invulnerable.

Framing

The way risk-based data is presented (or framed) has been shown to introduce

significant biases. Changing the description of a risk from positive to negative (i.e.

talk about costs rather than benefits or losses rather than gains) will have a

measurable effect on observed behaviour.

Numerical Representations

Many people experience difficulty in understanding and interpreting statistical

probabilities, thus the need to introduce additional qualitative characteristics to

enable the conceptualisation of risk.

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Perception of Hazardous Substances

Workplace studies have shown workers to perceive the risk associated with water-

based pesticides to be lower than solvent based, because water is natural and inert,

and must therefore be lower risk than solvent. This is irrational as it does not consider

the risk of the pesticide itself.

Risky Situation or Risky Individual?

Individual differences and situational factors can interact and prompt risk taking

behaviours. Researchers that emphasise the significance of the individual variables

have identified links between maturity, personality types and risk taking behaviour.

One theory suggests that individuals are equipped with ‘risk thermostats’, and that

safety interventions do not affect the setting of the thermostat. Regardless of

workplace controls the individual will behave in a way that maintains the level of risk

with which he was originally content.

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3.4 Assessing risk

Hazards and Risks

A hazard is anything that may cause harm, such as chemicals, electricity, working

from ladders.

Risk is the chance, high or low that somebody could be harmed by a hazard,

together with an indication of how serious the harm could be.

Risk Profiling

Effective leaders and line managers know the risks their organisations face, rank

them in order of importance and take action to control them.

The term ‘risk profile’ is defined by the ISO guide on risk management vocabulary as

follows:

‘A risk profile is a description of a set of risks…The set of risks can

contain those that relate to the whole organisation, part of the

organisation or as otherwise defined.’

Importantly, risk profiling and risk assessment are two different risk management tools

with different purpose, implications and levels of management information:

Risk profiling is usually a high-level activity, carried out at the business unit, division or

branch level. Its output is intended to identify high level areas of great risk or

undesirable exposure to risk that require management attention.

Risk assessment is far more detailed, usually carried out within individual processes or

activities within a business unit or branch. Its intention is to assess the potential

frequency/probability/severity of a risk and how effective controls against it are

deemed to be.

The risk profile of an organisation informs all aspects of the approach to leading and

managing its health and safety risks.

Every organisation will have its own risk profile. This is the starting point for determining

the greatest health and safety issues for the organisation. For some organisations, the

health and safety risks will be tangible and immediate safety issues, e.g. machine

guarding, whereas in other organisations, the risks may be health-related, and it

could be a long time before the illness becomes apparent. Degrading plant integrity

could also lead to later emerging risks.

Health and safety risks also range from things that happen very infrequently but with

catastrophic effects (high-hazard, low-frequency events, such as an oil refinery

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explosion) to things that happen much more frequently but with lesser

consequences (low-hazard, high-frequency events).

Clearly, the high-hazard, low-frequency example could destroy the business and

would be high-priority in a risk profile.

A risk profile examines:

• the nature and level of the threats faced by an organisation

• the likelihood of adverse effects occurring

• the level of disruption and costs associated with each type of risk

• the effectiveness of controls in place to manage those risks

The outcome of risk profiling will be that the right risks have been identified and

prioritised for action, and minor risks will not have been given too much priority. It

also informs decisions about what risk controls measures are needed.

An organisations leader(s) should maintain an overview of the risk profiling process,

ensuring they are aware of the major risks within their organisations, that minor risks

have not been given too much priority and that major risks have not been

overlooked.

Managers should review the organisation’s risk profile regularly. Change within the

organisation will affect the risk profile, e.g. during economic cycles such as recession

and recovery, when there is an increase in workload, or when experience levels

drop. They should also ensure that workers understand the organisation’s risk profile

and have the necessary information, instruction and training to deal with the risks

that have been identified.

Risk Assessment

The HSE has defined risk assessment as

“A careful examination of what, in the workplace, could cause

harm to people, so that a decision can be made as to whether the

precautions taken are satisfactory or whether more should be done

to prevent harm”.

Suitable and sufficient

The law states that a risk assessment must be ‘suitable and sufficient’, i.e. it should

show that:

• a proper check was made;

• all those who might be affected are considered, whether they are workers or

others such as members of the public;

• all the obvious significant risks have been dealt with, taking into account the

number of people who could be involved;

• the precautions are reasonable, and the remaining risk is low;

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• workers or their representatives have been involved in the process.

The level of detail in a risk assessment should be proportionate to the risk and

appropriate to the nature of the work. Insignificant risks can usually be ignored, as

can risks arising from routine activities associated with life in general, unless the work

activity compounds or significantly alters those risks.

A risk assessment should only include what could reasonably be expected – you are

not expected to anticipate unforeseeable risks.

For small businesses, with few or simple risks, a suitable and sufficient risk assessment

can be a very straightforward process based on informed judgement and using

appropriate guidance.

For medium-sized businesses, or those with greater risks, the risk assessment will need

to be more sophisticated. Specialist advice may be required for some areas of the

assessment, for example: risks requiring specialist knowledge, e.g. a particularly

complex process or technique or risks needing specialist analytical techniques, e.g.

being able to measure air quality and to assess its impact.

Large and high-hazard sites will require the most developed and sophisticated risk

assessments. For manufacturing sites using or storing bulk hazardous substances,

large-scale mineral extraction or nuclear plant, the risk assessment will be a

significant part of the legally required safety case or report and may incorporate

such techniques as quantified risk assessment.

A general approach to risk assessment (5 steps)

The HSE advises a basic five step approach to the risk assessment process.

Step 1: Identify the hazards

Hazards may arise from: acts such as manual handling; situations such as working at

height or in a confined space; or sources of energy such as a radiation source, or

the moving parts of a machine.

Hazards may be categorised as:

• Mechanical: e.g. moving parts of machinery or moving vehicles.

• Physical: e.g. noise or vibration energy, radiation, or electricity.

• Biological: e.g. legionella bacteria or blood borne viruses.

• Chemical: e.g. corrosive or toxic cleaning chemicals.

• Ergonomic: e.g. poor posture or repetitive work at a computer

workstation.

• Psychosocial: e.g. pressure of work or shift-work.

The approaches to hazard identification will vary from workplace to workplace

depending on the complexity of the business and the hazards present. Whatever

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the context, it is important that a consistent approach is determined to ensure that

significant hazards are proactively identified.

Hazards can cause harm in a variety of ways. Some are obvious, others not so much.

For example; it would probably be obvious to most people that a piece of

machinery (such as a concrete cutter) is capable of inflicting serious physical injuries.

What might not be so obvious is the silica dust generated when the concrete is cut,

which can cause lung cancer and other serious respiratory diseases.

Non-routine operations such as maintenance, cleaning and changes in production

cycles should be considered as should long-term-health hazards from noise or

exposure to substances that are hazardous to health.

Identifying hazards requires having a thorough understanding of the task the person

is carrying out. A job safety analysis (JSA) may be used to break the task down into

its component steps and identify hazards at each stage.

Hazards may be systematically identified by considering issues around materials,

equipment, environment or people (MEEP). The materials, equipment and

environment issues prompt consideration of unsafe conditions, the people issues

relate to unsafe acts and behaviours. The MEEP analysis may be used in conjunction

with or independent to a JSA.

Another approach considers who, what, why, when, where, how, some examples:

• Who is responsible for what during the task;

• What plant, equipment or materials are being used;

• Why is the work being done in the first place, or why are these methods

considered to be the most appropriate;

• When will the work take place;

• Where the work is to be undertaken – identifying local hazards; and

• How the task is done.

Yet another approach considers the ‘4P’s’ to ensure that all areas of work activity

and risk creation are addressed:

• Premises: including the place of work, entrances and exits, the general

working environment, welfare facilities, and all plant and facilities which are

part of the fixed structure, such as permanent electrical installations;

• Plant and substances: including the arrangements for their handling,

transport, storage and use;

• Procedures: including the design of jobs and work procedures and all aspects

of the way the work is done;

• People: including the placement of employees, their competence for the job

and any health surveillance needed

There are many sources of useful information to aid in identifying hazards. Broadly,

information may be obtained from sources within the organisation e.g. absence

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records, accident investigation reports etc.; and from sources external to the

organisation, such as suppliers, enforcing authorities or trade associations.

Information readily available within the organisation may include:

• The personal knowledge and experience of managers and employees;

• Workplace inspections to identify any obvious concerns

• Accident, ill health and incident data;

• Records of previous proactive and reactive monitoring, i.e. accident

investigations and workplace inspections;

• Historical records of audits and management reviews and accident/ill-

health records can often help to identify the less obvious hazards,

including hazards to health (e.g. from exposure to high levels of noise or

harmful fumes) and;

• Other existing records such as training records, maintenance records,

safety committee minutes and records of statutory inspections and

examinations.

Information sources outside the organisation include:

• Legislation and supporting Approved Codes of Practice which give practical

guidance and include basic minimum requirements, and HSE Guidance. UK

Government legislation can be viewed at, and printed from:

http://www.legislation.gov.uk/ and the HSE web pages include access to free

pdf versions of most HSE guidance at:

http://www.hse.gov.uk/pubns/index.htm

• Product information provided under HASAWA, e.g. safety data sheets for

hazardous substances, or safe operating instructions for plant or machinery.

• Relevant British and international standards.

• The International Labour Organisation (ILO) publishes Codes of Practice on a

range of health and safety issues such as: safe use of machinery, construction

site safety. These codes tend to be influential in developing nations.

• Industry or trade association guidance or guidance from professional bodies,

examples include: the Chemical Industries Association Guidance on Selection

of Occupational Health Professionals; the Institute of Chemical Engineers

(IChemE) guidance on Hazard and Operability Studies (HAZOPs); and the

Institute of Engineering and Technology (IET) publish the IEE Wiring Regulations

(Institute of Electrical Engineers – now part of IET).

• Expert advice and opinion from specialists and consultants;

• Relevant research which may have been undertaken or commissioned by

the HSE (research reports are accessible via the website), by professional

bodies, trade unions or academic institutions; and

• Subscription based databases of health and safety information, e.g.

Technical Indexes / IHS (OHSIS), Barbour or Croner.

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Step 2: Decide who might be harmed and how

Once the significant hazards have been identified, consideration should be given to

the people that may be affected, the type of harm that could occur and the

situations that might lead up to it (under reasonably foreseeable circumstances).

Really think this through, considering both normal, routine operations in addition to

situations that are outside of the norm, such as emergencies, maintenance,

equipment shutdowns etc.

Identify groups of people (e.g. ‘people working in the storeroom’ or ‘passers-by’),

and in each case think about how they might be harmed, (i.e. what type of injury or

ill health might occur). For example, ‘shelf stackers may suffer back injury from

repeated lifting of boxes’. Think about health issues as well as safety issues and long-

term (chronic) effects as well as short-term (acute) effects.

Some groups of workers are covered by specific legal requirements for risk

assessment, e.g. new and young workers, new or expectant mothers and people

with disabilities who may be at particular risk (these will be discussed later).

Other groups of workers, who may not be in the workplace all the time may require

additional consideration, e.g. cleaners, visitors, contractors, maintenance workers

etc. In a shared workplace the possibility of work activities affecting the health and

safety of employees of a neighbouring employer must also be considered. Members

of the public must also be considered if they could be hurt by work activities.

Remember to include the input of employees, especially those who actually carry

out the work activities under consideration. They may have a better understanding

about how the tasks are performed, including routine violations of current

procedures.

Step 3: Evaluate the risks and decide if you need to do more

Having identified the hazards, who might be harmed and how, it is necessary to

determine whether they are effectively controlled with whatever risk

controls/precautions are currently in place. If not, additional controls will need to be

identified and implemented so that effective control of the hazard can be

achieved.

Legally, there is a requirement to do all that is “reasonably practicable” to protect

people from harm. This requires the degree of risk (likelihood x severity) of a

particular activity or environment to be balanced against the costs (time, trouble

and physical difficulty) of taking measures to avoid the risk.

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The greater the risk, the more

likely it is that it will be

reasonable to go to very

substantial expense, trouble

and invention to reduce it.

If the consequences and the

extent of a risk are small, the

same substantial expense

would be considered

disproportionate to the risk

and it would be

unreasonable to have to incur

them to address a small risk.

The size and financial position of the employer are not taken into account in

consideration of what is ‘reasonably practicable’.

The first part of the process of evaluating the risk is considering both the likelihood of

harm occurring, given the current controls in place, and the seriousness/severity of

the harm should it occur. This enables risks to be compared and priorities to be

established.

There is no magic formula for evaluating risk, however the simple computation

explained below provides a ‘rough and ready’ means of determining relative risks.

An overall risk ranking may be determined by multiplying the ratings.

Risk Control

'Reasonably Practicable'

Probable Severity/Seriousness of Harm

Ch

an

ce

/Lik

elih

oo

d o

f H

arm

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High May require considerable resources, e.g. special equipment,

training, high levels of supervision, and consideration of the

most effective methods of eliminating or controlling hazards.

Medium Will require an appropriate level of resources to control the

risk.

Low Reasonable actions should still be taken to try to further

reduce these risks, if possible.

Factors affecting likelihood

• the number of people doing the task,

• how often they do it (frequency)

• for how long (duration)

• work pressures, such as productivity bonuses

• the competence of the workers

• whether current risk controls are adequate

• environmental conditions, such as the weather

Factors affecting severity

• potential for harm (toxicity, dimensions, weight, distance etc.)

• potential magnitude of the harm

• history of the harm

• potential population at risk

When it comes to severity of harm, it is essential to consider the properties of the

hazard, for example, some substances can be classified as toxic, corrosive, harmful

etc. and what sort of harm could result from exposure to a hazard, for example:

whether exposure could cause:

• Serious effects or death, either immediate or delayed, occurring from single

exposures to the substances, i.e. the effects of acute exposure

• Adverse effects or death resulting from repeated, even low level, exposures

over a long period of time, i.e. the chronic exposures

• Both long-term and short-term effects, i.e. the effect of acute and chronic

exposure

The second part of the process is to review controls already in place against

recognised standards of good practice. This benchmarking exercise will determine if

there is more that needs to be done. Having completed a risk assessment and

having taken account of existing controls, the organisation should be able to

determine whether existing controls are adequate or need improving, or if new

controls are required.

Improving health and safety need not be expensive, e.g. placing a mirror on a

dangerous blind corner to help prevent vehicle accidents is a low-cost precaution

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considering the risks, particularly when compared to the cost of the accident it may

prevent.

Priorities should be based upon such considerations as the level of the initial risk, the

numbers of people affected, legal requirements, the level of residual risk after

implementing controls, the cost of control, the amount of reliance on human

behaviour, the consequences if the control measure fails and ongoing maintenance

requirements.

In deciding which preventive and protective measures to take, employers and self-

employed people should apply the following principles of prevention:

a) if possible, avoid a risk altogether, e.g. do the work in a different way, taking

care not to introduce new hazards;

b) evaluate risks that cannot be avoided by carrying out a risk assessment;

c) combat risks at source, rather than taking palliative measures. So, if the steps

are slippery, treating or replacing them is better than displaying a warning

sign;

d) adapt work to the requirements of the individual (consulting those who will be

affected when designing workplaces, selecting work and personal protective

equipment and drawing up working and safety procedures and methods of

production). Aim to alleviate monotonous work and paced working at a

predetermined rate, and increase the control individuals have over work they

are responsible for;

e) take advantage of technological and technical progress, which often offers

opportunities for improving working methods and making them safer;

f) implement risk prevention measures to form part of a coherent policy and

approach. This will progressively reduce those risks that cannot be prevented

or avoided altogether and will take account of the way work is organised, the

working conditions, the environment and any relevant social factors. Health

and safety policy statements required under the HASAWA should be

prepared and applied by reference to these principles;

g) give priority to those measures which protect the whole workplace and

everyone who works there, and so give the greatest benefit (i.e. give

collective protective measures priority over individual measures);

h) ensure that workers, whether employees or self-employed, understand what

they must do; the existence of a positive health and safety culture should exist

within an organisation. That means the avoidance, prevention and reduction

of risks at work must be accepted as part of the organisation’s approach and

attitude to all its activities. It should be recognised at all levels of the

organisation, from junior to senior management.

The above items are general principles rather than individual prescriptive

requirements. They should, however, be applied wherever it is reasonable to do so.

Experience suggests that, in most cases, adopting good practice will be enough to

ensure risks are reduced sufficiently.

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To provide those who need to manage health and safety effectively with a

practical way to implement the above principles of prevention, the hierarchy of

controls has been developed and is included in the global health and safety

management standard ISO 45001.

The hierarchy of controls is intended to provide a systematic approach to enhance

health and safety, eliminate hazards, and reduce or control risks. Each control is

considered less effective than the one before it. It is usual to combine several

controls in order to succeed in reducing the risks to a level that is as low as

reasonably practicable.

Once the controls have been determined the organisation can prioritise its actions

to implement them. In the prioritisation of actions, the organisation should consider

the potential for risk reduction of the planned controls. In most cases it is preferable

that actions addressing a high-risk activity or offering a substantial reduction of risk

take priority over actions that have only limited risk reduction benefit.

If there are a lot of improvements that need to be made, an action plan should be

developed to prioritise them so that they can be dealt with effectively.

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Priorities are generally determined by the risk ratings (the outcomes of the risk

evaluation as discussed earlier) i.e. those that are considered ‘high risk’ based on

the likelihood and severity of harm occurring should be considered as highest

priority. Other factors to be considered might include:

• Whether the risk arises from a breach of legislation

• Enforcement action (e.g. the service of an Improvement Notice)

• Reasonable practicability, i.e. the cost of a solution that is proportionate to

the risk

• Supply chain pressure, i.e. it is a requirement for doing business with a

customer

• Exposure of vulnerable people, e.g. children, young people or disabled

• Affecting the public

• Other effects on business reputation

A good action plan might include:

• a few ‘quick wins’ - cheap or easy improvements that can be done

quickly, perhaps as temporary solutions until more reliable controls are in

place

• long-term solutions to those risks with the worst potential consequences,

especially personal injury or ill-health

• arrangements for training employees on the main risks that remain and the

corresponding controls

• arrangements for monitoring to ensure that the control measures stay in

place

• clear responsibilities for leading on individual actions

• target dates for completion

In some cases, it is necessary to modify work activities until risk controls are in place

or apply temporary risk controls until more effective actions are completed. For

example, the use of hearing protection as an interim measure until the source of

noise can be eliminated, or the work activity segregated to reduce the noise

exposure. Temporary controls should not be regarded as a long‑term substitute for

more effective risk control measures.

Authoritative sources of good practice are prescriptive legislation and Approved

Codes of Practice and guidance produced by Government and HSE inspectors.

Other sources include standards produced by standard-making organisations and

guidance agreed by a body representing an industrial or occupational sector,

provided the guidance has gained general acceptance.

Legal requirements, voluntary standards and codes of practice can specify

appropriate controls for specific hazards. In some cases, controls will need to be

capable of attaining “as low as reasonably practicable” (ALARP) levels of risk.

Where established industry practices result in high levels of health and safety, risk

assessment should not be used to justify reducing current control measures.

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The organisation should conduct ongoing monitoring to ensure that the adequacy

of the controls is being maintained.

Employers are required to do all that is “reasonably practicable” to protect the

health and safety of their employees and others at work.

Determining whether a control measure is “reasonably practicable” requires a

balancing of the costs of dealing with the risk (money, time, effort) against the risk of

injury (likelihood x severity). The greater the risk the greater the efforts expected to

control the risk. If there is gross disproportion between the two, i.e. significant

resources are required for minimal risk improvement then it may be argued that the

control is not reasonably practicable.

The objective is to manage risks to a tolerable level which is one that people are

willing to live with because it delivers certain benefits, and because there is

confidence that the risk is being properly controlled. The term “residual risk” is often

used to describe the risk that remains after controls have been implemented.

Step 4: Record the significant findings

The results of the risk assessment should be documented and shared with staff. If

there are fewer than five employees, legally the risk assessment does not need to be

documented. The record is useful however in:

• demonstrating the process undertaken

• in sharing information with employees

• in facilitating review processes when things change

This record should represent an effective statement of hazards and risks which then

leads management to take the relevant actions to protect health and safety. The

record should be retrievable for use by management in reviews and for safety

representatives or other employee representatives and visiting inspectors.

Where appropriate, it should be linked to other health and safety records or

documents such as the record of health and safety arrangements required by law

(HASAWA and MHSWR). It may be possible to combine these documents into one

health and safety management document.

This record may be in writing or recorded by other means (e.g. electronically) as

long as it is retrievable and remains retrievable even when, for example, the

technology of electronic recording changes. The record will often refer to other

documents and records describing procedures and safeguards.

The significant findings should include:

a) a record of the preventive and protective measures in place to control the

risks;

b) what further action, if any, needs to be taken to reduce risk sufficiently;

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c) proof that a suitable and sufficient assessment has been made. In many

cases, employers will also need to record sufficient detail of the assessment

itself, so that they can demonstrate (e.g. to an inspector or to safety

representatives or other employee representatives) that they have carried

out a suitable and sufficient assessment. This record of the significant findings

will also form a basis for a revision of the assessment.

Step 5: Review the risk assessment and update if necessary

Risk assessment should not be a once-and-for-all activity. Few workplaces stay the

same. Sooner or later, equipment, substances and procedures are updated, often

with the introduction of new hazards. Risk assessments should therefore, be reviewed

on an ongoing basis. As the nature of work changes, the appreciation of hazards

and risks may develop. Monitoring under the arrangements required by MHSWR

may reveal near misses or defects in plant or equipment. The risk assessment may no

longer be valid because of, for example, the results of health surveillance, or a

confirmed case of occupationally induced disease. Adverse events such as an

accident, ill health or dangerous occurrence may take place, even if a suitable and

sufficient risk assessment has been made and appropriate preventive and

protective measures taken. Such events should be a trigger for reviewing the original

assessment.

The risk assessment should be reviewed if developments suggest that it may no

longer be valid (or can be improved). In most cases, it is prudent to plan to review

risk assessments at regular intervals. The time between reviews is dependent on the

nature of the risks and the degree of change likely in the work activity. Such reviews

should form part of standard management practice.

In addition, perhaps a formal review should be undertaken every year or so to

ensure progress against the action plan and to show that standards are being

maintained or are continually improving.

The review should consider:

• Any changes to equipment, substances or procedures

• Any problems reported by the workforce

• Any lessons learnt from accidents or near misses

Risk Assessments for Specific Types of Risk

In addition to the general risk assessment required under MHSWR, there are certain

other pieces of legislation that specify the need for risk assessments for certain

hazards, examples being; fire, display screen equipment, manual handling,

hazardous substances, noise.

Sometimes, if the legislation allows for it, these risk assessments can be made as part

of the general risk assessment to avoid duplication. However, to enable proper,

systematic consideration of all relevant issues that contribute to the risk, it may be

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necessary to conduct a separate risk assessment and cross-refer to it from the

general risk assessment.

Specific Cases for Risk Assessment

Legislation requires special consideration be given to risk assessments of work

involving the following groups:

• New and expectant mothers;

• Young persons;

• Disabled persons; and

• Lone workers.

New and Expectant Mothers

A specific assessment is required for the risks to new and expectant mothers, i.e.

someone who is pregnant, has given birth within the previous six months, or is

breastfeeding.

The risk assessment is prompted as soon as the expectant mother informs the

employer, in writing, that she is pregnant. A medical certificate or maternity

statement is useful for conveying medical advice that may need to be considered

in a risk assessment.

There is a range of workplace hazards that could affect the health and safety of a

new or expectant mother or her child. Appropriate action should be taken to

identify and remove or reduce the risks associated with these hazards.

Physical hazards Chemical hazards Biological agents Working conditions

Awkward spaces

and workstations

Noise and

vibration

Radiation

(covered by

specific legislation)

Handling of

chemicals that

may be harmful to

reproduction, or to

a developing

foetus

Infections Inadequate

facilities (including

rest rooms)

Excessive working

hours (night work

etc).

Overly stressful

work

High or low

temperatures

Lone-working

Work at height

Travelling

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Exposure to

violence

If pregnancy related issues remain a concern the following options should be

considered:

• Action 1: temporarily adjust working hours or working conditions or both, or

if this is not possible;

• Action 2: offer suitable alternative work at the same rate of pay if

available; or if that is not feasible;

• Action 3: suspend on full pay for as long as is necessary to protect the

health of the mother and child.

Young Persons

A specific risk assessment should be undertaken for young persons before they start

work. The young person must be informed of the findings before they start work or

work experience.

If the young person is a child their parent or guardian must be informed of the risk

assessment findings before they start a work placement. A young person is anyone

under 18 years old. A child is anyone who has not yet reached the official minimum

school leaving age (MSLA) which is just before or just after their 16th birthday.

The risk assessment should take into account both the psychological and

physiological characteristics of young persons.

Psychological factors Physiological factors

inexperience and immaturity;

lack of awareness of existing or

potential risks;

need for additional supervision, training

and information.

availability of PPE which will fit young

persons;

stature, strength and reach of young

persons and the ability to operate

controls (of vehicles and power tools);

and

body dimensions of young person’s

relative to safe distances used to

prevent access to machinery danger

zones

In addition, there are some work activities where young persons may require greater

protection because of ongoing physiological development.

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No young person should be employed for work which:

• is beyond his physical or psychological capacity;

• involves harmful exposure to toxic or carcinogenic agents or those which

can cause heritable genetic damage or harm to the unborn child or

which in any other way chronically affect human health;

• involves harmful exposure to radiation;

• involves the risk of accidents which it may reasonably be assumed cannot

be recognised or avoided by young person’s owing to their insufficient

attention to safety or lack of experience or training; or

• poses a risk to health from: extreme cold or heat; noise; or vibration.

Disabled Workers

The Equality Act 2010 defines a person as disabled if they have a physical or mental

impairment that has a substantial and long-term adverse effect on their ability to

carry out normal day-to-day activities.

‘Normal day-to-day’ means things that people do on a regular or daily basis, such

as reading, writing, using the telephone, having a conversation and travelling by

public transport etc.

Long-term usually means the impairment should have lasted or be expected to last

at least a year.

Substantial means not minor or trivial.

The Equality Act 2010 requires that employers treat disabled employees and

jobseekers fairly to avoid: disability discrimination; victimisation; or harassment.

Discrimination may occur when a disabled person is treated less favourably than an

able-bodied person, and the only difference is the disability. Discrimination may also

occur when reasonable adjustments have not been made to accommodate the

needs of the disabled person.

Reasonable adjustments will need to be considered as part of the risk assessment

process.

A risk assessment is only required if the person’s disability changes the way they work.

A risk assessment is not required just because a person is disabled.

If a persons impaired mobility, vision or hearing impacted upon their own safety or

the safety of others this should be addressed through risk management processes.

It is vital that the risk assessment does not make assumptions about the disabled

person and what jobs they can or cannot do as this can lead to discrimination.

The process should be participative, involving the disabled person, with a view to

making reasonable adjustments to enable work to be done.

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Lone Workers

Lone workers are those who work by themselves without close or direct supervision,

they usually fit into one of the following four categories:

• People in fixed establishments where only one person works on the

premises, e.g.in petrol stations or home-workers;

• People working separately from others, e.g. in factories, warehouses, or

research establishments;

• People working outside normal hours, e.g. cleaners, security, special

production, maintenance or repair staff;

• Mobile workers working away from their fixed base, e.g. plant installation

or maintenance contractors; agricultural and forestry workers; and service

workers such as rent collectors, postal staff, social workers, estate agents,

and others visiting domestic and commercial premises.

Establishing safe working for lone workers is no different from organising the safety of

other employees. The key question is whether or not the requirements can be met

by people working alone.

Issues requiring attention include:

• Can the risks of the job be adequately controlled by one person?

• Lone workers should not be at more risk than other employees. This may

require extra risk-control measures for normal work and foreseeable

emergencies.

• Does the workplace present a special risk to the lone worker?

• Are the means of access and egress safe for a lone person?

• Can work equipment be safely operated by one person?

• Can work equipment and materials be safely handled by one person (male /

female)?

• Is there a risk of violence?

• Is the person medically fit and suitable to work alone?

• What training is required to ensure competency in safety matters?

• Limits should be set regarding what can and cannot be done alone.

• Employees should be competent to deal with new and unusual

circumstances.

Training is particularly important where there is limited supervision to control, guide

and help in situations of uncertainty.

Consideration should be given to individual factors such as their experience and

level of training, their personality and attitude (are they confident and outgoing or

shy/insecure), state of health.

The extent of supervision required depends on the risks involved and the ability of the

lone worker to identify and handle health and safety issues. Employees new to a job,

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undergoing training, doing a job which presents special risks, or dealing with new

situations may need to be accompanied at first.

How will lone workers be monitored?

Approaches include:

• Periodic supervisor visits;

• Regular telephone or radio contact;

• Automatic warning devices which operate if check in signals are not

received;

• Manually activated emergency alarms;

• Automatic alarms in the case of inactivity (e.g. man down alarms); and

• Checks that a lone worker has safely returned to their base or home.

Lone workers should have access to adequate first-aid facilities and mobile workers

should carry a first-aid kit suitable for treating minor injuries. Occasionally risk

assessment may indicate that lone workers need training in first aid.

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3.5 Management of change

Organisational Change

Many organisations face continuous pressure to change in order to meet their

business objectives in a competitive marketplace. Industry is undergoing increasing

change and there has been, and continues to be, pressure for organisational

change and staff reductions.

This can range from simple limited change (e.g. apparently minor change in

supervision arrangements for shifts) through delayering, takeover / merger changes,

multi-skilling etc to a full business process re-engineering (BPR) exercise. The key issue

is the identification and assessment of effects (direct and indirect) on the control of

hazards from a proposed change, and during the transition to the new structure.

Organisational changes such as reducing staffing levels, using contractors or

outsourcing, combining departments, or changes to roles & responsibilities are

usually not analysed and controlled as thoroughly as plant or process changes. Such

changes can, if inadequately conceived or implemented, have a detrimental

effect on safety. Even subtle changes to organisations can have significant impacts

on the management of hazards.

Rapid or continuous change can also have a detrimental effect on health and

poorly managed organisational change can increase the workforce’s experience of

mental ill-health.

Key principles of managing organisational change

• The key issue is that the direct and indirect effects of a proposed change on

the control of hazards should be identified and assessed.

• Due to the greater potential consequences of an accident, major accident

hazard sites should aim for higher reliability in their planning and decision

making.

• Avoid too many simultaneous changes which may result in inadequate

attention to some or all. Phase changes whenever possible.

• Organisational change should be planned in a thorough, systematic, and

realistic way; similar to the processes for managing plant change.

• Two aspects of the change need risk assessment: risks and opportunities

resulting from the change (where you want to get to) and risks arising from

the process of change (how you get there).

• Consult with staff (including contractors) before, during and after the change

- don’t miss serious issues hidden among all the natural concerns.

• Ensure that all key tasks and responsibilities are identified and successfully

transferred to the new organisation.

• Provide training and experienced support/supervision for staff with new or

changed roles.

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• Consider reviews of plans and assessments by independent internal or

external experts - be prepared to challenge.

• Remember that change can happen even to apparently static organisations

e.g. the effects of an ageing workforce.

Plant or Process Change

The Chemical Industries Association Safety Advisory Group outlines the following

good practice related to plant modification / change procedures:

• Members of staff must be aware of the hazards associated with the work they

carry out and be able to determine that the risks involved are acceptable;

• Risk assessment must be carried out to determine the possibility and

consequence of the hazards being realised; if necessary, appropriate

precautions must be taken to minimise the risk;

• All modifications – whether involving procedures, plant and equipment,

people or substances – should be subject to formal management

procedures;

The procedure should draw reference to:

• Evidence from previous incidents – their cause and means of preventing

them;

• The intrinsic link between process definition and the validity of the hazard

evaluation;

• The options that are available in the design of safety measures;

• Preventative measures (process control, instrumentation etc.);

• Protective measures (containment, reactor venting, quenching, reaction

inhibition).

Good industry practice requires that process and plant modifications should not be

undertaken without having undertaken a safety, engineering and technical review.

This review should be traceable and identify changes proposed to the following

factors:

• Process conditions;

• Operating methods;

• Engineering methods;

• Safety;

• Environmental conditions;

• Engineering hardware and design.

A form of risk assessment should then identify what hazards have been created by

the change that may affect plant or personnel safety, and what action can be

implemented to reduce or eliminate the risk. Additional hazards that may be

introduced which need to be considered are fire, explosion and loss of containment.

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Changes may affect other parts of the plant which may be quite remote from the

source of the change. Therefore, all parts of the plant should be considered in

undertaking hazard identification and risk assessments.

Factors that are crucial to the success and safe implementation of a plant

modification procedure include:

• Corporate history;

• Communication between different departments;

• Recognition of authorised personnel;

• Accurate recording and monitoring of changes to plant and process.

Construction

The range of activities involved in a construction project will vary between projects,

but will typically include:

• Site clearance

• Demolition and dismantling

• Excavation

• Loading, unloading and storage of materials

• Vehicle movements

• Fabrication

• Decoration

• Cleaning

• Site services

• Landscaping

The following issues are particular concerns in the construction sector:

Weather conditions

Most construction projects involve working outdoors and extremes of weather can

pose problems, such as UV radiation from sunlight and heat stress issues in the

summer, the cold in the winter as well as high winds and heavy rain. Interruptions to

scheduled work can also cause knock on problems (rushing / corner cutting) to

keep a project on schedule.

Transitory nature of workers

Construction projects are relatively short term and construction workers are used to

travelling around the country from project to project (see also notes on migrant

workers below). Workers may be self-employed or working on short term contracts

with different contractors. Problems arising include inconsistencies in approach,

difficulty in ensuring effective consultation, cooperation and coordination of

activities, and a lack of ‘ownership’ of a project.

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Temporary nature of construction activities and the constantly

changing workplace

Each stage of a building project involves different skills with workers often working for

different contractors. Effective project planning is critical to ensure smooth

handovers of work areas, to avoid congestion, and to prevent the hazardous

activities of one contractor exposing third parties to risk.

Time pressure

The timeline for a project can easily be disrupted by the weather or other variables

such as the availability of specialist contractors. Missed deadlines for transitional

handovers and completion can result in the imposition of severe contractual

penalties. Contractors are also challenged to price ‘competitively’ for work and can

also lose money if projects overrun.

There can therefore be pressures at all levels to get the job done on time, leading to

corner cutting and rushing, which can impact on health, safety and quality.

The Construction (Design and Management) Regulations (CDM) gives the client

overall accountability for ensuring the project is adequately resourced.

Managing the impact of change

The key to achieving healthy and safe working conditions is to ensure that health

and safety issues are planned, organised, controlled, monitored and reviewed.

Everyone controlling site work has health and safety responsibilities. Checking that

working conditions are healthy and safe before work begins and ensuring that the

proposed work is not going to put others at risk requires planning and organisation.

This applies equally to a firm running and managing a small job, or to a

subcontractor working at a large site controlled by someone else. Planning has to

consider changes to the site as it develops – from welfare arrangements at the set-

up, through to snagging work and the dismantling of site huts and hoardings at the

end of the contract. The basic requirements apply to all jobs.

Where issues are not addressed early on, projects can be delayed, and it can

become significantly harder for contractors to devise safe ways of working once

they are on site. There needs to be robust systems in place for:

• communication and co-operation

• risk assessment

• appointment of competent people

• segregation of work areas

• amendment of emergency procedures

• welfare provision

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The principal contractor must ensure that the construction phase plan is

appropriately reviewed, updated and revised from time to time. The plan is a

working document and will need to be reviewed regularly enough to address

significant changes to the risks involved in the work or in the effectiveness of the

controls that have been put in place.

This means that the principal contractor must monitor how effective the plan is in

addressing identified risks and whether it is being implemented properly. Ensuring the

plan remains fit for purpose must also involve co-operating with:

a) the contractors who are most likely to see if the arrangements for controlling

health and safety risks are working; and

b) the principal designer and designers when changes in designs during the

construction phase have implications for the plan.

The client must ensure that:

a) when it is drawn up, the plan adequately addresses the arrangements for

managing the risks; and

b) the principal contractor (or contractor) regularly reviews and revises the plan

to ensure it takes account of any changes that occur as construction

progresses and continues to be fit for purpose.

The principal contractor should liaise with other contractors involved with the project

to ensure appropriate welfare facilities are provided. Such liaison should continue for

the duration of the construction phase and take account of any changes in the

nature of the site which require, in turn, changes to the provision of welfare facilities.

The principal contractor must liaise with the principal designer for the duration of the

project. The early appointment of a principal contractor by the client will allow their

construction expertise to be used from the earliest stages of designing and planning

a project. They should also liaise with the principal designer throughout the

construction phase on matters such as changes to the designs and the implications

these changes may have for managing the health and safety risks.

Assessing training needs should be an ongoing process throughout the project.

Further training may be required if:

a) the risks to which people are exposed alter due to a change in their working

tasks;

b) new technology or equipment is introduced; or

c) the system of work changes.

Monitoring and review

The Plan – Do – Check – Act sequence should be applied to the process of change

management as it should for all areas of the health and safety management system.

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This means that the impact of changes, and the organisations responses to those

changes should be monitored as the changes occur and reviewed afterwards so

that lessons can be learned and fed back into future planning stages.

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3.6 Safe systems of work for general

work activities The HASAWA requires employers to provide, so far as is reasonably practicable,

systems of work that are “safe and without risks to health”.

NEBOSH defines a Safe System of Work as:

“The integration of personnel, articles and substances in a laid out

and considered method of working which takes proper account of

the risks to employees and others who may be affected, such as

visitors and contractors, and provides a formal framework to ensure

that all of the steps necessary for safe working have been

anticipated and implemented.”

A SSW is required when hazards cannot be eliminated and a degree of risk remains

after technical control measures are introduced.

Worker involvement

Accident rates are lower where employees genuinely feel they do have a say in

health and safety matters than in workplaces where employees do not get involved.

Aside from the legal duty to consult, workplaces where employees are involved in

taking decisions about health and safety are safer and healthier. Employees

influence health and safety through their own actions. They are often the best

people to understand the risks in the workplace. Talking, listening and co-operating

with each other can help:

• identify joint solutions to problems;

• develop a positive health and safety culture where risks are managed

sensibly;

• reduce accidents and ill health, plus their related costs to the business;

• bring about improvements in overall efficiency, quality and productivity;

• meet customer demands and maintain credibility; and

• comply with legal requirements.

A workforce that feels valued and involved in decision-making plays a big part in a

high-performing workplace. Empowering the workforce, giving them the right skills,

and getting them involved in making decisions shows them that the organisation

takes their health, safety and wellbeing seriously. They not only raise concerns but

offer solutions too. There can be an impact far beyond health and safety

management if the workforce is not engaged on health and safety issues which

affect them.

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Developing a safe system of work

The process for developing a SSW is outlined below.

Analysing tasks, identifying hazards and assessing risks

This is no different from what is involved in the risk assessment process and much of

the work involved in this step will likely already have been completed.

Introducing controls and formulating procedures

Employers need to assess the risks to their staff, and then preventive measures or

control measures must be derived from this assessment. As discussed previously, the

types of measures can be classified as: elimination of the hazards (e.g. designing

new work processes) and, if that is not possible, minimising and separating the

hazards from the workers by

• technical measures (e.g. encasing, exhaust),

• procedural measures (e.g. only qualified employees can do specified work),

• behavioural measures (e.g. peer-observation).

A simple SSW may be defined verbally, as a written procedure or include a Permit-

to-Work (PTW) (discussed later), depending on the level of risk and the needs of the

organisation.

In all cases the SSW should:

• Consider the preparations and authorisations necessary before beginning

work;

• Ensure the job sequence is logically and clearly planned;

• Specify safe methods for undertaking specific activities;

• Specify safe means of access and egress if relevant; and

• Consider the end of activity tasks such as dismantling and disposal.

Instruction and training in how to use the system

The co-operation of the workforce is essential to the success of the SSW. Employees

should be consulted and involved in the development of the SSW. The content of

the SSW and management’s commitment to it must be clearly communicated to all

employees.

Training should be given in the SSW which should include details of the hazards and

risks involved with the task, the methods of work required, the equipment to be used

together with any pre-use inspections, PPE required, what action to take if problems

arise and any actions to be taken when task is complete. Managers and supervisors

will also require training to enable the effective implementation and ongoing

monitoring of the SSW.

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Documented Procedures

Good written procedures are vital in maintaining consistency and in ensuring that

everyone has the same basic level of information. They also play a key role in

ensuring that good quality training is delivered. Poor procedures, however, can be a

reason for people not following the required actions. Reliable and usable

procedures are the key to avoiding ‘mistake’ type errors (rule-based and

knowledge-based ones).

Assuring safety through procedures requires such procedures to be useable and

used. Suitable task or job aids (flow diagrams, checklists, diagnostic tools etc) are

needed to help assure critical steps or sequences within tasks. These should have

appropriate warnings and critical information relating to control of hazards and

should keep to one simple subtask or action per step.

The key issue when preparing procedures is to consider who the documents are

intended for and what they are expecting them to be used for i.e. the procedures

need to be proportional for their intended purpose. Procedures can fulfil various

functions, such as reference manuals, training documents, on-the-job aids, etc, and

this function will determine the type of procedure that is needed e.g. for use on-the

job, flow sheets and checklists will be more appropriate.

Developing these requires operator participation from the start (or in a review) if

ownership is to be built in and violations/non-compliance to be avoided. Typical

critical procedures include start-up and shutdown, tanker deliveries and tank filling,

emergency response, maintenance of safety critical plant and equipment. Poor

safety culture is also a major cause of procedural violations.

The more rarely a procedure is used, e.g. those for plant upsets, emergency

response, etc, the more detailed the procedure will need to be.

As well as being technically accurate, procedures need to be consistent (within the

organisation) well-written, usable and up to date.

The style (format/layout) of procedures can be critical in the clear and accurate

assimilation of the information. HSG48 contains good guidance on this, with a typical

procedure having the following elements:

• Purpose of the procedure;

• Precautions which must be observed to avoid potential hazards;

• Special tools or equipment needed;

• Initial conditions which must be satisfied before starting;

• References to other relevant documents, e.g. data sheets or manuals; and

• Procedural steps to perform the task safely and efficiently.

HSG48 also includes guidance on the format/layout of procedures with the following

all being elements to consider:

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• Divide longer procedures into shorter chunks (helps users to go back to a

particular step if they are interrupted or if the task takes some time to carry

out).

• AVOID USING ALL CAPITAL LETTERS FOR THE TEXT (this is slower and more

difficult to read). Decide how features such as capitals, bold, italics, and

underlining will be used. Overuse of these features is very distracting for users.

• Avoid using very small fonts (e.g. 8 point or smaller, as they are very difficult to

read).

• Make good use of open space in the printed text (if the page appears too

• cluttered, users will be discouraged from reading it).

• Use a consistent format for all procedures (helps users find their way around

the text).

Monitoring the System

Once implemented the SSW will require periodic monitoring to ensure:

• The system is workable, and employees are comfortable following it;

• The procedures as specified are being followed and are effective; and

• Any changes to the workplace or work practises that would necessitate a

review and reiteration of the SSW are identified early.

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3.7 Permit to Work (PTW) systems For some types of higher risk work a safe system of work will need to include a formal

permit to work (PTW). A PTW is a formal, auditable system that is appropriate for

control of higher risk activities.

Examples of high-risk jobs where a written PTW procedure will be appropriate are

shown below:

Activity requiring PTW PTW is intended to:

Confined space entry

Ensure hazards have been identified

and the atmosphere is regularly

monitored whilst work is in progress

Hot work Ensure control of ignition sources

Work on live electrical equipment or

high voltage electrical work

Ensure the necessary isolation is

provided

Working at height Ensure a fall arrest strategy is in place

Specialist maintenance work Specify control measures where normal

standards of work and precautions are

not possible.

A PTW is not simply permission to carry out a dangerous job. It is an essential part of a

system which determines how that job can be carried out safely and helps

communicate this to those doing the job.

The permit-to-work is a documented procedure that:

• authorises certain people to carry out specific high-risk work within a specified

time frame;

• identifies the precautions required to complete the work safely, based on a

risk assessment;

• describes what work will be done and how it will be done (method

statement).

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The permit-to-work requires declarations from the people authorising the work and

carrying out the work. Where necessary it requires a declaration from those involved

in shift handover procedures or extensions to the work.

Finally, before equipment or machinery is put back into service, it will require a

declaration from the permit originator that it is ready for normal use.

The PTW should:

• Ensure proper authorisation of designated high-risk work;

• Clearly identify the location and nature of work to be done;

• Clearly define any limits on the work to be done – including time limits;

• Clearly identify the hazards associated with the work and the necessary

precautions including safe isolation of power or other energy sources;

• Be prominently displayed at or near the point of work with copies kept by

the issuer and at a suitable permit co-ordination room;

• Ensure that the manager responsible for the area in which the work is to

take place is aware;

• Ensure that any person responsible for particular plant or installations to be

worked on is made aware;

• Provide a record of continuous control to show that appropriate

precautions have been taken and checked; and

• Ensure that when plant that has been worked on is handed back it is safe

and ready to return to use.

Before introducing a PTW system it is imperative that all affected workers and

responsible signatories receive training and instruction in the issue, use and closure of

permits.

Once the system is implemented it must be monitored and audited to ensure that it

works as intended

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Key Stages of a PTW System

Additional procedures are required for extension of agreed time limits if necessary

and for managing shift handovers.

The permit-to-work form should be designed to help communication between

everyone involved; and should consider individual site conditions and requirements;

and the particular requirements of the tasks to be controlled such as confined space

entry or hot work. Different permit forms may be required for different tasks.

Issue

•Issue by a competent issuing authority setting the parameters of the permit and confirming that precautions are in place

Acceptance

•Acceptance by a competent worker (performing authority) confirming understanding of the work to be done, hazards involved and corresponding precautions

Handback

•Handback of the PTW, by the performing authority, confirming that the work has been completed to plan

Cancellation

•Cancellation of the PTW by the issuing authority confirming the work has been tested and the work area returned to normal use.

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3.8 Emergency procedures The Management of Health and Safety at Work Regulations 1999 contain general

requirements for emergency planning, which require the employer to:

• Have emergency procedures to be followed in the event of serious and

imminent danger

• Appoint a sufficient number of competent persons to implement

evacuation procedures

• Ensure that no employee has access to any danger area unless he has

received adequate health and safety instruction

• Make any necessary arrangements for contacting external emergency

services

It is important that as part of the risk assessment process, emergency situations are

considered, and appropriate procedures put in place and maintained. Workplaces

need a plan for emergencies that can have a wider impact. Special procedures are

needed for emergencies such as serious injuries, explosion, flood, poisoning,

electrocution, fire, release of radioactivity and chemical spills etc.

These procedures should also include instructions as to who and how the

emergency services should be contacted together with what information should be

passed on. This will ensure accurate information is given, reducing the possibility of

confusion and any unnecessary delay.

If things go wrong, putting people and property at serious risk, it is vital that actions

are taken swiftly to either deal with the situation and/or ensure personnel are

evacuated efficiently and safely.

Contact with the relevant emergency services, prior to any emergency occurring,

may also be important. This will give them prior knowledge of the operations,

procedures and materials/substances at the premises, thus helping to ensure a

correct and prompt response in the event of an emergency.

Quick and effective action may help to ease the situation and reduce the

consequences. However, in emergencies people are more likely to respond reliably

if they:

• are well trained and competent;

• take part in regular and realistic practice;

• have clearly agreed, recorded and rehearsed plans, actions and

responsibilities.

An emergency plan should be written if a major incident at a workplace could

involve risks to the public, rescuing employees or co-ordinating emergency services.

Where an employer shares the workplace with another employer, they should

consider whether the emergency plans and procedures should be co-ordinated.

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Points to include in emergency procedures

• Consider what might happen and how the alarm will be raised. Don’t forget

night and shift working, weekends and times when the premises are closed,

e.g. holidays.

• Plan what to do, including how to call the emergency services. Help them by

clearly marking the premises from the road. Consider drawing up a simple

plan showing the location of hazardous items.

• If The employer has 25 tonnes or more of dangerous substances, they must

notify the fire and rescue service and put up warning signs.

• Decide where to go to reach a place of safety or to get rescue equipment.

The employer must provide suitable forms of emergency lighting.

• The employer must make sure there are enough emergency exits for

everyone to escape quickly and keep emergency doors and escape routes

unobstructed and clearly marked.

• Nominate competent people to take control (a competent person is

someone with the necessary skills, knowledge and experience to manage

health and safety).

• Decide which other key people are needed, such as a nominated incident

controller, someone who is able to provide technical and other site-specific

information if necessary, or first-aiders.

• Plan essential actions such as emergency plant shutdown, isolation or making

processes safe. Clearly identify important items like shut-off valves and

electrical isolators etc.

• The employer must train everyone in emergency procedures. Don’t forget the

needs of people with disabilities and vulnerable workers.

• Work should not resume after an emergency if a danger remains. If there are

any doubts, ask for assistance from the emergency services.

First Aid

“First-aid” means:

• treatment for the purpose of preserving life and minimising the

consequences of injury and illness until medical help is obtained

• treatment of minor injuries which would not need treatment by a medical

practitioner or nurse

Employers have to ensure that sufficient first-aid equipment, facilities and personnel

are made available to give immediate assistance to casualties with both common

(i.e. non work related) injuries or illnesses and those likely to arise from specific

hazards at work and to summon an ambulance or other professional help.

Assessment of First Aid Needs

What is sufficient will depend on the circumstances. A formal assessment of first-aid

needs is required to determine the appropriate level of provision. It should consider:

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Work patterns

Sufficient provision should always be available when employees are at work.

Separate arrangements may be required for each shift, and for ‘out of hours’

working. Adequate arrangements for covering both planned absences (e.g. annual

leave) and unplanned absences (e.g. sickness) of first-aiders and appointed

persons.

Location

Where a site is remote from emergency medical services, special transport

arrangements may be required. The emergency services should be informed in

writing of the location of remote sites and any particular circumstances, including

specific hazards.

On a site with more than one building, if the travel distance between buildings is

unreasonable, separate first aid provision may be required in each building.

Numbers and locations of first-aiders or appointed persons in a multi-storey building

should give adequate provision to employees on each floor.

On a shared or multi-occupied site, employers can arrange for one employer to

take responsibility for providing first-aid cover for all the workers.

Activities carried out

The general risk assessment is useful in assessing first-aid needs. Understanding the

nature of an accident or injury if preventive or control measures fail can help in

determining the necessary first-aid provision.

In large or multi-site organisations historical accident data may be useful in

determining where first-aiders should be located, what area they should be

responsible for and what first-aid equipment is necessary.

Number of workers

A larger workforce generally has a greater the need for first-aid provision, which

should be determined by the risk assessment and assessment of needs.

Consideration should be given to the needs of young workers, trainees, pregnant

workers and employees with disabilities or particular health problems.

Training and Testing

Knowledge and skills will inevitably degrade over time, so it’s essential that regular

training is provided in dealing with emergency situations and administering first-aid.

Dealing with emergencies can obviously be stressful. Being well-trained and having

been provided with the opportunity to practice and rehearse means that staff

should be able to respond to emergencies and handle the situation more effectively

and efficiently.

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Regular drills of emergency situations will enable a company to critically evaluate

the effectiveness of their procedures and identify areas where improvements need

to be made. It’s quite possible that once an emergency procedure has been

practised for the first time, there could be many things that did not happen as

anticipated.

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Element 4: Health and safety

monitoring and measuring

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4.0 Learning Outcomes On completion of this element, candidates should be able to:

• Take part in incident investigations

• Help their employer to check their management system effectiveness –

through monitoring, audits and reviews

Assessment criteria

4.1 Discuss common methods and indicators used to monitor the effectiveness of

management systems

4.2 Explain why and how incidents should be investigated, recorded and reported

4.3 Explain what an audit is and why and how they are used to evaluate a

management system

4.4 Explain why and how regular reviews of health and safety performance are

needed

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4.1 Active and Reactive Monitoring Most systems and procedures deteriorate over time, and system failures discovered

following a major incident frequently surprise senior managers, who sincerely

believed that the controls were functioning as designed.

An organisation should have systematic approaches for measuring monitoring and

reviewing its health and safety performance on a regular basis, as an integral part of

its overall management system. The management system itself should also be

subjected to periodic audits to ensure its ongoing effectiveness.

Measuring health and safety performance is different to the measurement of other

aspects of an organisations performance as success is achieved through the

absence of an outcome (no accidents or illness) rather than the presence of an

outcome (more orders, more profit).

Good historical performance may be down to luck rather than judgement and is no

guarantee of effective control and future safety

To get a realistic understanding of an organisations health and safety performance

requires a variety of measures to provide information on a range of activities.

There are many good reasons for monitoring and reviewing health and safety

performance, including:

• identifying substandard health and safety practices and conditions

• identifying trends of types of accident, injury or illness

• comparing actual performance with previously set targets

• “benchmarking” performance against similar organisations or an industry

norm

• evaluating the effectiveness of existing control measures and making

decisions on addressing any deficiencies identified

• identifying new or changed risks

• assessing compliance with legal requirements

• providing the Board of Directors and / or safety committee with relevant

information

• boosting morale and motivate the workforce through positive reinforcement

on progress

• maintaining external accreditations (e.g. ISO 45001).

The management system requires both active and reactive monitoring systems:

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Active Monitoring

Reactive Monitoring

Monitor the effectiveness of workplace

precautions, risk control systems and

management arrangements, and

provide leading indicators of

performance

Monitor accidents, ill health, incidents

and other evidence of deficient health

and safety performance. and provide

lagging indicators of performance

Active monitoring systems

Active monitoring gives an organisation feedback on its performance before an

accident, incident or ill health. It includes monitoring the achievement of specific

plans and objectives, the operation of the health and safety management system,

and compliance with performance standards. This provides a firm basis for decisions

about improvements in risk control and the health and safety management system.

Active monitoring measures success and reinforces positive achievement by

rewarding good work, rather than penalising failure after the event. Such

reinforcement can increase motivation to achieve continued improvement.

Organisations need to decide how to allocate responsibilities for monitoring at

different levels in the management chain and what level of detail is appropriate.

The decisions will reflect the organisation’s structure. Managers should be given the

responsibility for monitoring the achievement of objectives and compliance with

standards for which they and their subordinates are responsible. Managers and

supervisors responsible for direct implementation of standards should monitor

compliance in detail.

Above this immediate level of control, monitoring needs to be more selective, but

provide assurance that adequate first-line monitoring is taking place. This should

reflect not only the quantity but the quality of subordinates’ monitoring activity.

Multi-site organisations need to satisfy themselves that different ‘satellites’ are

meeting corporate plans and objectives as well as controlling risks. There need to be

performance standards for managers to indicate how they will monitor.

The various forms and levels of active monitoring include:

• routine procedures to monitor specific objectives, e.g. quarterly or monthly

reports or returns;

• periodic examination of documents to check that systems relating to the

promotion of the health and safety culture are complied with. One example

might be the way in which suitable objectives have been established for

each manager; regular review of performance; assessment and recording of

training needs; and delivery of suitable training;

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• the systematic inspection of premises, plant and equipment by supervisors,

maintenance staff, management, safety representatives or other employees

to ensure the continued effective operation of workplace precautions;

• environmental monitoring and health surveillance to check on the

effectiveness of health control measures and to detect early signs of harm to

health;

• systematic direct observation of work and behaviour by first-line supervisors

to assess compliance with risk control systems and associated procedures

and rules, particularly those directly concerned with risk control;

• the operation of audit systems;

• consideration of regular reports on health and safety performance by the

board of directors.

The key to effective active monitoring is the quality of the plans, performance

standards and specifications which have been established. These provide the

yardstick against which performance can be measured.

Active monitoring should be proportional to the hazard profile. Activity should

concentrate on areas where it is likely to produce the greatest benefit and lead to

the greatest control of risk. Key risk control systems and related workplace

precautions should therefore be monitored in more detail or more often (or both)

than low-risk systems or management arrangements.

Regular monitoring may also be usefully supplemented by:

• random observation including senior managers on ‘health and safety tours’;

• periodic surveys of employees’ opinions on key aspects of health and safety;

• inspections by safety representatives or other employee representatives.

Inspections

A system for inspecting workplace precautions is important in any active monitoring

programme. It can form part of the arrangements for the preventive maintenance

of plant and equipment which may also be covered by legal requirements.

Equipment in this category includes pressure vessels, lifts, cranes, chains, ropes, lifting

tackle, power presses, scaffolds, trench supports and local exhaust ventilation. But

inspections should include other workplace precautions, such as those covering the

use of premises, other places of work and systems of work.

A suitable programme will take all risks into account but should be properly

targeted. For example, low risks might be dealt with by general inspections every

month or two covering a wide range of workplace precautions such as the

condition of premises, floors, passages, stairs, lighting, welfare facilities and first aid.

Higher risks need more frequent and detailed inspections, perhaps weekly or even,

in extreme cases, daily or before use. An example of a pre-use check would be the

operation of mobile plant.

The inspection programme should satisfy any specific legal requirements and reflect

risk priorities. Suitable schedules and performance standards for the frequency and

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content of inspection can help. The schedules can be supplemented with

inspection forms or checklists, both to ensure consistency in approach and to

provide records for follow-up action.

Inspections should be done by people who are competent to identify the relevant

hazards and risks and who can assess the conditions found.

Safety inspections can be conducted in various ways, such as through:

• Safety tours - general inspections of the workplace usually involving senior

management

• Safety sampling - systematic sampling of particular dangerous activities,

processes or areas

• Safety surveys - general inspections of a particular dangerous activity,

processes or area

A properly thought-out approach to inspection will include:

• well-designed inspection forms to help plan and initiate remedial action by

requiring those doing the inspection to rank any deficiencies in order of

importance;

• summary lists of remedial action with names and deadlines to track progress

on implementing improvements;

• periodic analysis of inspection forms to identify common features or trends

which might reveal underlying weaknesses in the system;

• information to aid judgements about any changes required in the frequency

or nature of the inspection programme.

Use of Checklists

Inspection forms or checklists are often used and offer a number of benefits:

• Prior preparation and planning ensure the inspection is structured and

systematic.

• Ensures a degree of consistency in the process and the interpretation of

findings;

• Reduces the chance that important areas or issues might be missed

• Can be adapted or customised for use in different areas

• Provides an immediate record of findings

• Provides an easy method for comparison and audit

The weaknesses associated with the use of checklists are:

• The process may be overly rigid with no flexibility to explore other issues of

interest

• The checklist needs to be regularly reviewed and updated to stay current as

the workplace evolves

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• There may be a tendency for people to complete tick lists without actually

undertaking the checks that the list was designed to prompt

• The expectation of consistency can be taken for granted with little effort put

into training inspectors to help ensure that consistency

Reactive monitoring systems

Reactive systems, by definition, are triggered after an event and include identifying

and reporting:

• injuries and cases of ill health (including monitoring of sickness absence

records);

• other losses, such as damage to property;

• incidents, including near misses with the potential to cause injury, ill health or

loss;

• complaints by the workforce regarding health, safety and welfare issues;

• enforcement actions, such as prosecutions, enforcement notices or informal

letters;

• civil claims for compensation; and

• the costs arising out of all of the above.

The list above is of outcomes that can be reactively monitored. Reactive monitoring

systems involve collecting information over time and collating that information to

provide management information on performance trends and fluctuations.

Each event provides an opportunity for an organisation to check performance,

learn from mistakes, and improve the health and safety management system and

risk controls.

Collecting information on serious injuries and ill health should be straightforward for

most organisations, but learning about minor injuries, other losses, and near misses

can prove more challenging. There is value in collecting information on all actual

and potential losses to learn how to prevent more serious events.

Leading and Lagging Indicators

If unchecked, all systems will deteriorate over time and major incidents occur when

defects across several risk control systems materialise concurrently. Setting leading

and lagging indicators for each risk critical control system should reveal failings in

these barriers as they arise and before all the important barriers are defeated.

Many organisations rely on auditing to highlight system deterioration. However, audit

intervals can be too infrequent to detect rapid change, or the audit may focus on

compliance (verifying the right systems are in place), rather than ensuring systems

are delivering the desired safety outcome.

The use of performance indicators fits between these formal, infrequent audits and

more frequent workplace inspection and safety observation programmes. It is

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important to bear in mind that an audit programme may be designed to address

different issues when compared to the information gained from performance

indicators.

Ideally, each will inform the other. Deficiencies uncovered by an audit may highlight

the need for a new performance indicator and vice versa. Therefore, performance

indicators are not a substitute for an audit programme but a complimentary activity

to give more frequent or different information on system performance.

Leading indicators

Leading indicators are a form of active monitoring focused on a few critical risk

control systems to ensure their continued effectiveness. Leading indicators require a

routine systematic check that key actions or activities are undertaken as intended.

They can be considered as measures of process or inputs essential to deliver the

desired safety outcome.

The leading indicator identifies failings or ‘holes’ in vital aspects of the risk control

system discovered during routine checks on the operation of a critical activity within

the risk control system

Lagging indicators

Lagging indicators are a form of reactive monitoring requiring the reporting and

investigation of specific incidents and events to discover weaknesses in the system.

These incidents or events do not have to result in major damage or injury, providing

that they represent a failure of a significant control system which guards against or

limits the consequences of an incident. Lagging indicators show when a desired

safety outcome has failed or has not been achieved. They reveal failings or ‘holes’ in

the system, discovered following an incident or adverse event.

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4.2 Investigating Incidents The investigation and analysis of work-related accidents and incidents forms an

essential part of the management of health and safety. Learning lessons from

experience is critical to preventing future accidents and incidents.

Carrying out an accident investigation provides a deeper understanding of the risks

associated with work activities. Learning what went wrong enables improvements to

risk control measures, and management arrangements for supervision and

monitoring etc.

The Level of Investigation

It is the potential consequences and the likelihood of the adverse event recurring

that should determine the level of investigation, not the actual injury or ill health

suffered.

Other considerations include the opportunity to learn and improve, and whether or

not members of the public were involved.

In a minimal level investigation, the relevant supervisor will look into the

circumstances of the event and try to learn any lessons which will prevent future

occurrences.

A low level investigation will involve a short investigation by the relevant supervisor or

line manager into the circumstances and immediate, underlying and root causes of

the adverse event, to try to prevent a recurrence and to learn any general lessons.

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A medium level investigation will involve a more detailed investigation by the

relevant supervisor or line manager, the health and safety adviser and employee

representatives and will look for the immediate, underlying and root causes.

A high level investigation will involve a team-based investigation, involving

supervisors or line managers, health and safety advisers and employee

representatives. It will be carried out under the supervision of senior management or

directors and will look for the immediate, underlying, and root causes.

The Investigation Process

The accident investigation will require an analysis of all the information available to

identify what went wrong and determine what steps must be taken to prevent the

adverse event from happening again

The primary reason for investigating an accident is to learn from the experience, and

to gain an understanding of:

• How and why things went wrong;

• What really happens and how work is really done; and

• Any deficiencies in risk control management, enabling improvement going

forward.

There are also specific legal reasons:

• The Management of Health and Safety at Work etc Regulations 1999 requires

employers to plan, organise, control, monitor and review their health and

safety arrangements – accident investigation plays an important part in this

process;

• In the case of a civil action, there is a need to make full disclosure of the

circumstances of an accident to the injured parties considering legal action.

The courts are likely to view a thorough investigation and appropriate

remedial action as demonstration of a positive attitude to health and safety;

and

• Insurance companies will also require the findings of the investigation when

dealing with a claim.

The broader business benefits may also include:

• The prevention of further similar adverse events;

• The prevention of business losses due to disruption, stoppage, lost orders and

the costs of legal actions;

• An improvement in employee morale and attitude towards health and safety

as a consequence of positive action; and

• The development of managerial skills such as problem solving and action

planning.

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Who should conduct the investigation?

An accident investigation should be a team effort involving management and

employees.

Depending on the level of investigation and the size and complexity of the

organisation a range of personnel, including employees, supervisors, managers,

safety representatives, safety practitioners and directors, may need to be involved.

HSE research has shown that in organisations where there is cooperation and

consultation with employees, the number of accidents is half that of workplaces

where there is no employee involvement.

A team approach ensures that a wide range of practical knowledge and

experience is brought to bear and reinforces the message that the investigation is

for everyone’s benefit.

Members of the investigation team will require:

• Detailed knowledge of the work activities involved;

• Familiarity with health and safety good practice, standards and legal

requirements;

• Suitable investigative skills (e.g. information gathering, interviewing,

evaluating and analysing).

• Sufficient time and resources to carry out the investigation efficiently;

• The authority to make decisions and act on their recommendations.

Step 1: Gathering Information

The first stage of the investigation is to gather evidence to help establish what

happened and how it happened.

The response of the investigation team should be prompt. It is advisable to have an

investigation kit prepared and ready to use. This could be a suitable, portable case

containing:

• A camera or video camera;

• Pens, pencils and paper for notes and sketches;

• Witness statement forms;

• Measuring tape;

• Hazard warning tape;

• Personal protective equipment (PPE);

• Site plans;

• An investigation checklist.

The investigation should look to establish the following:

• Time and location of the accident;

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• Details of injured parties and anyone else involved;

• Details of injury or ill-health caused;

• Activities being undertaken at the time;

• Any unusual working conditions;

• Whether the risk was known or not;

• Whether a safe systems of work existed and was being followed;

• Level of competence of all involved;

• Whether the organisation and arrangement of work was a factor;

• Whether work materials were a factor;

• Whether the workplace layout (environment) was a factor;

• Difficulties in using plant or equipment;

• Whether adequate safety equipment was provided and used;

• Contribution of cleaning or maintenance activities;

• Any other contributing factors; and

• An understanding of the chain of events

Sources of information will include:

• Scene

• People

• Documentation

Scene

The scene of the incident. Physical evidence including sketches, measurements,

photographs, and details of the environmental conditions at the time;

People

The people involved or affected. Verbal accounts and written statements regarding

eyewitness observations, previous experiences and opinions. An effective a witness

interview should be conducted as soon as possible after the incident has occurred,

and take place in a suitable, comfortable, private room, with no interruptions.

Witnesses should be interviewed one at a time but may be accompanied if

necessary, to put them at ease.

The interviewer should bear in mind that the interviewee may be suffering medical

shock after the event are be very nervous due to the event or the interview

The interviewer should make clear that the purpose of the interview is to understand

what happened and not to apportion blame; and look to build a rapport with the

interviewee, by using appropriate language and tone.

Open questions should be used to ensure that the witness is not led and that the

account is a fair, however the questioning should focus on obtaining facts rather

than feelings or opinions. Closed questions (Yes / No answers) can be used to

confirm or clarify specific points

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At the end of the interview, a written summary of the evidence given should be

agreed and signed to enable it to be attached to the final report on the incident.

Documentation

All relevant documentation should be gathered and analysed, including:

• risk assessments;

• safe systems of work;

• permits-to-work;

• work procedures / job guides;

• operating instructions;

• pre-use inspections of equipment (e.g. fork lift trucks);

• training records;

• maintenance records;

• previous incident reports;

• workplace inspections; and

• environmental monitoring records (e.g. temperature or dust levels).

Step 2: Analysing the Information

The analysis involves examining all the facts, to improve understanding of what

happened and why.

The analysis should be carried out in a systematic way, so all the possible causes and

consequences are fully considered. There are a range of formal methods available

to help the process.

Essentially, domino and multi-causal analysis looks to map the contributory factors,

continually asking why? To identify not just the direct causes, but also the underlying

and root causes.

Understanding the underlying and root causes will help to identify appropriate risk

control measures.

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Domino theories

Domino theories of accident causation

suggest that accidents result from a

chain of sequential events like a line of

dominoes falling over. When one of the

dominoes falls, it triggers the next one,

and the next, eventually resulting in an

accident and injury or other loss.

Accident prevention strategies involve

removing one of the dominoes from the

chain to prevent the sequence

progressing to the accident.

Multi-causality theories

A good accident investigation will identify the sequence of events and conditions

that led up to the adverse event and identify the immediate, underlying and root

causes.

Accidents typically arise

because of a combination

of causes so rather than a

linear row of dominoes it is

better represented as a

tree with multiple rows of

dominoes coming together

to cause the accident.

There are numerous tools

and techniques available

for structuring the lines of

inquiry in an investigation

their suitability will depend

on the complexity of the

accident.

In a simple example the

investigation works down

from a top event which

describes the accident and

injury working through different rows of immediate, underlying and root causes.

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Step 3: Identifying Suitable Risk Control Measures

A methodical analysis stage will enable failings and possible solutions to be

identified.

Risk control measures that were not in place or were in place but failed should be

identified.

Suitable risk control measures, which if they had been in place would have

prevented the accident, can be proposed.

These solutions need to be systematically evaluated to ensure that the best options

are considered for implementation. If several risk control measures are necessary,

they should be prioritised in the action plan.

It is useful to consider at this stage whether a similar accident could occur elsewhere

in the organisation and might be prevented by the implementation of the

recommendations.

Step 4: The Action Plan and Implementation

At this stage in the investigation senior management with the authority to make

decisions and act on the recommendations of the investigation team, should be

involved.

An action plan for the implementation of additional risk control measures is the

necessary outcome of the accident investigation. The action plan should have

SMART objectives, i.e. Specific, Measurable, Agreed, and Realistic, with Timescale.

Accident: an undesired event that results in injury, ill health, or property damage.

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Near miss: an undesired event that had the potential to cause injury, ill health or

property damage, but did not.

Many organisations use the term incident as a synonym for ‘near miss’, while other

organisations use it as a ‘catch all’ covering both accidents and near misses. The

HSE uses the term to cover near misses and undesired circumstances which are

defined as “a set of conditions or circumstances that have the potential to cause

injury or ill health, e.g. untrained nurses handling heavy patients.”

In the definitions of accident and near miss used here there is an event and an

outcome. Whether or not an event causes harm or not is often a matter of chance.

Recording and Reporting Incidents

Reporting certain incidents is a legal requirement. The report informs the enforcing

authorities (HSE, local authorities and the Office for Rail Regulation (ORR)) about

deaths, injuries, occupational diseases and dangerous occurrences, so they can

identify where and how risks arise, and whether they need to be investigated. This

allows the enforcing authorities to target their work and provide advice about how

to avoid work-related deaths, injuries, ill health and accidental loss.

Work-related accidents

For the purposes of RIDDOR, an accident is a separate, identifiable, unintended

incident that causes physical injury. This specifically includes acts of non-consensual

violence to people at work.

Not all accidents need to be reported, a RIDDOR report is required only when:

• the accident is work-related; and

• it results in an injury of a type which is reportable (as listed under ‘reportable

injuries’).

When deciding if the accident that led to the death or injury is work-related, the key

issues to consider are whether the accident was related to:

• the way the work was organised, carried out or supervised;

• any machinery, plant, substances or equipment used for work; and

• the condition of the site or premises where the accident happened.

If none of these factors are relevant to the incident, it is likely that a report will not be

required.

See www.hse.gov.uk/riddor/do-i-need-to-report.htm for examples of incidents that

do and do not have to be reported.

http://www.hse.gov.uk/riddor/do-i-need-to-report.htm

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Reportable injuries

Deaths

All deaths to workers and non-workers must be reported if they arise from a work-

related accident, including an act of physical violence to a worker. Suicides are not

reportable, as the death does not result from a work-related accident.

Specified injuries to workers

• The list of ‘specified injuries’ in RIDDOR 2013 (regulation 4) includes:

• a fracture, other than to fingers, thumbs and toes;

• amputation of an arm, hand, finger, thumb, leg, foot or toe;

• permanent loss of sight or reduction of sight;

• crush injuries leading to internal organ damage;

• serious burns (covering more than 10% of the body, or damaging the eyes,

respiratory system or other vital organs);

• scalpings (separation of skin from the head) which require hospital treatment;

• unconsciousness caused by head injury or asphyxia;

• any other injury arising from working in an enclosed space, which leads to

hypothermia, heat-induced illness or requires resuscitation or admittance to

hospital for more than 24 hours.

Over-seven-day injuries to workers

This is where an employee, or self-employed person, is away from work or unable to

perform their normal work duties for more than seven consecutive days (not

counting the day of the accident).

Injuries to non-workers

Work-related accidents involving members of the public or people who are not at

work must be reported if a person is injured, and is taken from the scene of the

accident to hospital for treatment to that injury. There is no requirement to establish

what hospital treatment was actually provided, and no need to report incidents

where people are taken to hospital purely as a precaution when no injury is

apparent.

If the accident occurred at a hospital, the report only needs to be made if the injury

is a ‘specified injury’ (see above).

Reportable occupational diseases

Employers and self-employed people must report diagnoses of certain occupational

diseases, where these are likely to have been caused or made worse by their work.

These diseases include:

• carpal tunnel syndrome;

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• severe cramp of the hand or forearm;

• occupational dermatitis;

• hand-arm vibration syndrome;

• occupational asthma;

• tendonitis or tenosynovitis of the hand or forearm;

• any occupational cancer;

• any disease attributed to an occupational exposure to a biological agent.

Reportable dangerous occurrences

Dangerous occurrences are certain, specified ‘near-miss’ events (incidents with the

potential to cause harm.) Not all such events require reporting. There are 27

categories of dangerous occurrences that are relevant to most workplaces. For

example:

• the collapse, overturning or failure of load-bearing parts of lifts and lifting

equipment;

• plant or equipment coming into contact with overhead power lines;

• explosions or fires causing work to be stopped for more than 24 hours.

Certain additional categories of dangerous occurrences apply to mines, quarries,

offshore workplaces and certain transport systems (railways etc). For a full, detailed

list, refer to the online guidance at: www.hse.gov.uk/riddor.

Reportable gas incidents

If you are a distributor, filler, importer or supplier of flammable gas and you learn,

either directly or indirectly, that someone has died, lost consciousness, or been taken

to hospital for treatment to an injury arising in connection with the gas you

distributed, filled, imported or supplied, this can be reported online.

If you are a gas engineer registered with the Gas Safe Register, you must provide

details of any gas appliances or fittings that you consider to be dangerous to the

extent that people could die, lose consciousness or require hospital treatment. This

may be due to the design, construction, installation, modification or servicing, and

could result in:

• an accidental leakage of gas;

• inadequate combustion of gas; or

• inadequate removal of products of the combustion of gas.

You can report online.

Recording requirements

Records of incidents covered by RIDDOR are also important. They ensure that you

collect sufficient information to allow you to properly manage health and safety

risks. This information is a valuable management tool that can be used as an aid to

http://www.hse.gov.uk/riddor

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risk assessment, helping to develop solutions to potential risks. In this way, records

also help to prevent injuries and ill health, and control costs from accidental loss.

You must keep a record of:

• any accident, occupational disease or dangerous occurrence which requires

reporting under RIDDOR; and

• any other occupational accident causing injuries that result in a worker being

away from work or incapacitated for more than three consecutive days (not

counting the day of the accident but including any weekends or other rest

days).

You do not have to report over-three-day injuries, unless the incapacitation period

goes on to exceed seven days.

If you are an employer who has to keep an accident book, the record you make in

this will be enough.

You must produce RIDDOR records when asked by HSE, local authority or ORR

inspectors.

How to report

• Online. Go to www.hse.gov.uk/riddor and complete the appropriate online

report form. The form will then be submitted directly to the RIDDOR database.

You will receive a copy for your records.

• Telephone. All incidents can be reported online but a telephone service

remains for reporting fatal and specified injuries only. Call the Incident

Contact Centre on 0845 300 9923 (opening hours Monday to Friday 8.30 am

to 5 pm).

• Reporting out of hours. HSE has an out-of-hours duty officer. Circumstances

where HSE may need to respond out of hours include:

o a work-related death or situation where there is a strong likelihood of

death following an incident at, or connected with, work;

o a serious accident at a workplace so that HSE can gather details of

physical evidence that would be lost with time; and

o following a major incident at a workplace where the severity of the

incident, or the degree of public concern, requires an immediate

public statement from either HSE or government ministers.

If you want to report less serious incidents out of normal working hours, you should

complete an online form at www.hse.gov.uk/riddor/report.htm#online.

You can find more information about contacting HSE out of hours at

www.hse.gov.uk/contact/outofhours.htm.

http://www.hse.gov.uk/riddor

http://www.hse.gov.uk/riddor/report.htm#online

http://www.hse.gov.uk/contact/outofhours.htm

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4.3 Health and Safety Auditing

What is an audit

The HSE define an audit as:

“The structured process of collecting independent information on

the efficiency, effectiveness and reliability of the total health and

safety management system and drawing up plans for corrective

action.”

An audit is a systematic, independent and documented process for obtaining audit

evidence and evaluating it objectively to determine the extent to which the audit

criteria are fulfilled. An audit can be an internal audit, or an external audit and it can

be a combined audit (combining two or more disciplines). An internal audit is

conducted by the organisation itself, or by an external party on its behalf.

Organisations are often subject to audit, e.g. for finance, environment and quality.

The process can also be applied to health and safety.

Why audit

Auditing supports monitoring by providing managers with information on how

effectively plans and the components of the health and safety management system

are being implemented.

The aims of auditing a health and safety management system should be to establish

that:

• appropriate management arrangements are in place;

• adequate risk control systems exist, are implemented, and consistent with the

hazard profile of the organisation;

• appropriate workplace precautions are in place.

There are positive and negative aspects to this. An audit might identify a failing

within the management system, which would be a negative finding, but the

emphasis should not be exclusively of looking for failings. Positive aspects of the

health and safety system should also be identified. This could mean identifying areas

where the organisation is performing well, learning what is driving this, and then

applying those principles in other areas that are not performing so well.

Auditing should not be perceived as a fault-finding activity but as an integral part of

the health and safety management system. Auditing should recognise positive

achievements as well as areas for improvement.

Various methods can be used to achieve this, and some components of the system

do not need to be audited as often as others.

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For instance, an audit of the management arrangements and the overall capability

of an organisation to manage health and safety need not be done as often as an

audit to verify the implementation of risk control systems.

Critical risk control systems, which control major hazards will require most frequent

attention and may require specialist technical input.

A team approach, involving managers, safety representatives and employees is an

effective way to widen involvement and co-operation in devising and implementing

the programme.

- negative: identifying failing of a management system

- positive: organisational learning and assurance

The differences between audits and inspections

Audits and inspections are both useful active monitoring techniques that are

intended to have quite different applications and benefits. Many organisations do

however use the terms interchangeably and this can cause confusion.

Audits Inspections

Focus on the management system Focus on workplace, work equipment or

work activities

Has a visual / observational aspect but

also gathers evidence from

documentation and staff interviews

Visual / observational

Evaluating the efficiency and

effectiveness of the management

system components

Looking for unsafe acts and

conditions (inadequately controlled

hazards)

Auditors are independent of local

management

Inspections may well involve local

managers

Types of audit

There are three main types of audits:

System audit

An audit conducted on a management system. It can be described as a

documented activity performed to verify, by examination and evaluation of

objective evidence, that applicable elements of the system are appropriate and

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effective and have been developed, documented, and implemented in

accordance and in conjunction with specified requirements.

A quality management system audit evaluates an existing quality management

program to determine its conformance to company policies, contract

commitments, and regulatory requirements.

Similarly, an environmental system audit examines an environmental management

system, a food safety system audit examines a food safety management system,

and safety system audits examine the safety management system.

Process audit

This type of audit verifies that processes are working within established limits. It

evaluates an operation or method against predetermined instructions or standards

to measure conformance to these standards and the effectiveness of the

instructions.

Product/service audit

This type of audit is an examination of a product or service, such as hardware,

processed material, or software, to evaluate whether it conforms to requirements

(i.e., specifications, performance standards, and customer requirements).

Internal or External Audits?

Auditing by external third-party auditors is necessary for certification to ISO 45001 or

verification of ongoing maintenance of that standard. Other than that, the key

requirements for auditors are that they are competent and independent of the area

or activity being audited. This could be achieved by using internal staff from other

departments or sites, or by contracting the audit to a third-party organisation. The

pros and cons of internal and external auditors are summarised below:

Advantages Disadvantages

Internal • Familiarity with the

• Workplace, its tasks and

processes;

• Awareness of practicable

standards for the industry;

• Able to see improvements

or a deterioration from the

last audit;

• Familiarity with the

workforce and individual’s

qualities and attitudes;

• Less costly and easier to

arrange audit

• May not have recognised

auditing skills;

• May not be up to date with

legal requirements;

• Less likely to be aware of

best practice in other

organisations;

• Subject to pressure from

management and the

workforce;

• Have time constraints

imposed upon them

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External • Likely to possess auditing

skills and credibility;

• Less inhibited in criticising

members of management

or the workforce;

• Likely to be up to date with

legal requirements and

best practice in other

companies;

• View the organisation’s

performance with a fresh

pair of eyes

• Unfamiliar with the

workplace, tasks and

processes;

• Not familiar with the

workforce and their attitudes

to health and safety.

• May have difficulty in

obtaining cooperation;

• Unfamiliar with the industry

and seek unrealistic

standards;

• May be more costly than an

internal staff member

The audit stages

Planning

The planning stage of an audit involves:

• selecting a competent audit team, independent of the area to be audited;

• discussing and agreeing the objectives and scope of the audit with relevant

managers and employee representatives;

• developing audit questionnaires and checklists and agreeing on relevant

guidance and standards to be applied;

• allocating resources; and

• agreeing timescales and deciding on methods of feedback

Senior managers have an important role to play to ensure that resources are made

available to enable the audit process runs smoothly. This includes:

• leadership of the process, convincing all participants of the importance of the

exercise; and the

• provision of sufficient resources including time for both auditees and auditors

to deliver a good audit.

Senior managers may also be involved in the audit process, cross-auditing parts of

the organisation they have no direct responsibility for. They also have a significant

role to play upon receipt of the audit findings, in ensuring that any shortcomings are

addressed in a timely manner.

The top management should ensure that the audit programme objectives are

established and assign one or more competent persons to manage the audit

programme. The extent of an audit programme should be based on the size and

nature of the organisation being audited, as well as on the nature, functionality,

complexity and the level of maturity of the management system to be audited.

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Notification of the audit and timetable for auditing

The initial contact with the auditee for the performance of the audit can be informal

or formal and should be made by the audit team leader. The purposes of the initial

contact are the following:

• establish communications with the auditee’s representatives;

• confirm the authority to conduct the audit;

• provide information on the audit objectives, scope, methods and audit team

composition, including technical experts;

• request access to relevant documents and records for planning purposes;

• determine applicable legal and contractual requirements and other

requirements relevant to the activities and products of the auditee;

• confirm the agreement with the auditee regarding the extent of the

disclosure and the treatment of confidential information;

• plan for the audit including scheduling the dates;

• determine any location-specific requirements for access, security, health and

safety or other;

• agree on the attendance of observers and the need for guides for the audit

team;

• determine any areas of interest or concern to the auditee in relation to the

specific audit.

The audit team leader should prepare an audit plan based on the information

contained in the audit programme and in the documentation provided by the

auditee. The audit plan should consider the effect of the audit activities on the

auditee’s processes and provide the basis for the agreement among the audit

client, audit team and the auditee regarding the conduct of the audit. The plan

should facilitate the efficient scheduling and coordination of the audit activities in

order to achieve the objectives effectively.

Pre-audit preparations, including competent audit team, time and

resources required

The relevant management system documentation of the auditee should be

reviewed in order to:

• gather information to prepare audit activities and applicable work

documents, e.g. on processes, functions;

• establish an overview of the extent of the system documentation to detect

possible gaps.

The documentation should include, as applicable, management system documents

and records, as well as previous audit reports. The document review should consider

the size, nature and complexity of the auditee’s management system and

organisation, and the audit objectives and scope.

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The person managing the audit programme should appoint the members of the

audit team, including the team leader and any technical experts needed for the

specific audit.

An audit team should be selected, considering the competence needed to

achieve the objectives of the individual audit within the defined scope. If there is

only one auditor, the auditor should perform all applicable duties of an audit team

leader.

Information gathering

Collecting information about health and safety management requires decisions on

the level and detail of an audit. All audits involve sampling and a key question is

always: 'How much sampling needs to be done to make a reliable assessment?'

The nature and complexity of an audit will therefore vary according to:

• its objectives and scope;

• the size, sophistication and complexity of the organisation; and

• the maturity of the existing health and safety management system.

Auditors have three information sources on which to draw:

• Interviewing individuals, to gain information about the operation of the health

and safety management system and the perceptions, knowledge,

understanding, management practices, skill and competence of managers

and employees at various levels in the organisation

• Examining documents, assessing records, RCSs, performance standards,

procedures and instructions for completeness, accuracy and reliability

together with the implications for competence and understanding.

• Visual observation of physical conditions and work activities to examine

compliance with legal requirements and verify the implementation and

effectiveness of workplace precautions and RCSs.

Information analysis

The adequacy of a health and safety management system is judged by making a

comparison between what is found against a relevant 'standard' or benchmark. If

there are no clear standards, the assessment process will be unreliable.

Legal standards, HSE guidance and applicable industry standards should be used to

inform audit judgements.

Audit evidence should be evaluated against the audit criteria in order to determine

audit findings. Audit findings can indicate conformity or nonconformity with audit

criteria. When specified by the audit plan, individual audit findings should include

conformity and good practices along with their supporting evidence, opportunities

for improvement, and any recommendations to the auditee.

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Nonconformity is a non-fulfilment of a requirement. It can be any deviation from:

• relevant work standards, practices, procedures, legal requirements etc. or

• health and safety management system requirements.

Nonconformities and their supporting audit evidence should be recorded and may

be graded. They should be reviewed with the auditee in order to obtain

acknowledgement that the audit evidence is accurate, and that the

nonconformities are understood. Every attempt should be made to resolve any

diverging opinions concerning the audit evidence or findings, and unresolved points

should be recorded.

The audit team should meet as needed to review the audit findings at appropriate

stages during the audit.

Completion of audit report

The audit report should provide a complete, accurate, concise and clear record of

the audit, and should include or refer to the following:

a) the audit objectives;

b) the audit scope, particularly identification of the organizational and

functional units or processes audited;

c) identification of the audit client;

d) identification of audit team and auditee’s participants in the audit;

e) the dates and locations where the audit activities were conducted;

f) the audit criteria;

g) the audit findings and related evidence;

h) the audit conclusions;

i) a statement on the degree to which the audit criteria have been fulfilled.

The audit report can also include or refer to the following, as appropriate:

j) the audit plan including time schedule;

k) a summary of the audit process, including any obstacles encountered that

may decrease the reliability of the audit conclusions;

l) confirmation that the audit objectives have been achieved within the audit

scope in accordance with the audit plan;

m) any areas within the audit scope not covered;

n) a summary covering the audit conclusions and the main audit findings that

support them;

o) any unresolved diverging opinions between the audit team and the auditee;

p) opportunities for improvement, if specified in the audit plan;

q) good practices identified;

r) agreed follow-up action plans, if any;

s) a statement of the confidential nature of the contents;

t) any implications for the audit programme or subsequent audits;

u) the distribution list for the audit report.

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4.4 Review of health and safety

performance Reviewing is the process of making judgements about the adequacy of

performance and taking decisions about the nature and timing of the actions

necessary to remedy deficiencies. Organisations need to have feedback to see if

the health and safety management system is working effectively as designed.

Why health and safety performance should be

reviewed

Reviews are essential to determine:

a) the level of legal compliance within the organisation;

b) the adequacy and effectiveness of existing control measures;

c) the damage caused where control is lacking;

d) priorities for action to address any shortfalls in legal compliance or good risk

management; and

e) the ongoing effectiveness of the system as a whole (including any associated

issues regarding certification to ISO 45001).

What the review should consider

The main sources of information come from monitoring and auditing activities.

Reviews should also consider the impact of external information such as new

legislation or changes in good practice. Examples of information to be considered

during a health and safety performance review include:

• active monitoring data, including:

o inspections, surveys, tours and sampling;

o audits - corrective and preventive actions;

• reactive monitoring data including:

o accident and incident data;

o absences and sickness data;

• level of compliance with relevant legal and organisational requirements;

• legal/good practice developments;

• assessing opportunities for improvement and the need for change;

• quality assurance reports;

• external communications and complaints;

• results of participation and consultation;

• progress against action plans / objectives met;

• actions from previous management reviews.

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Reporting on health and safety performance

Although there are legal requirements to monitor and review health and safety

performance there is no legal requirement to publish the information in annual

reports.

There is however guidance suggesting how health and safety issues should be

addressed in published annual reports on business activities and performance. It was

published as part of the Revitalising Health and Safety (RHS) strategy with the

intention of helping the drive to achieve the RHS national targets for reductions in

the rates of occupational injuries and illness.

As a minimum the annual report should include the following information:

• the broad context of the health and safety policy;

• the significant risks faced by employees and others and the strategies and

systems in place to control them;

• the health and safety goals, as per the safety policy;

• report on progress towards achieving health and safety goals in the reporting

period, and on health and safety plans for the forthcoming period;

• the arrangements for consulting employees and involving safety

representatives.

In addition, the report should provide the following data on health and safety

performance for the reporting period:

• the number of RIDDOR reportable injuries, illnesses and dangerous

occurrences (presented as the rate of injuries per 100,000 employees);

• brief details of the circumstances of any fatalities, and of the actions taken to

prevent any recurrence;

• the number of cases of illness, disability or health problems that are caused or

made worse by work;

• the total number of employee days lost due to all causes of occupational

injury and illness;

• the number of enforcement notices served on the company and detail of the

requirements;

• the number and nature of convictions for health and safety offences, their

outcome in terms of penalty and costs, and what has been done to prevent

a recurrence;

• the total cost to the company of the occupational injuries and illnesses

suffered by staff in the reporting period.

Companies are encouraged to go beyond the minimum standards and include

additional information such as the outcome of health and safety audits, and on the

extent and effectiveness of health and safety training provided to staff.

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Continuous improvement

Continual improvement is about seeking better performance at each stage of the

health and safety management system, from establishing the policy to the lessons

learned through review of performance.

All available information should be reviewed to determine the need to redesign or

amend any parts of the health and safety management system or to change the

systems overall direction or objectives.

Feeding information on success and failure back into the system is an essential

element in motivating employees to maintain and improve performance.

The most important aspect of reviewing is that it closes the loop. The outcomes of

the review become what the organisation plan to do next with health and safety.

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Appendix 1: Formative Self-

Assessment It is important that you can identify gaps in your knowledge. This will enable you to

adapt your approach to your studies. Use the table below to keep track of how

confident you are in each of the assessment criteria areas.

There will be opportunities throughout the course to reflect on your areas of strength

and weakness and your tutor will also be able to provide you with feedback

following course exercises and mock exam questions etc.

Use the table on the next page to tick off how confident you are in each of the

areas of the course.

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Assessment criteria

Confidence

1 2 3 4 5

1.1 Discuss the moral, financial and legal reasons for managing health and

safety in the workplace

1.2 Explain how the law works and the consequences of non-compliance

1.3 Summarise the main health and safety duties of employers and workers in

HSWA 1974 and MHSWR 1999

1.4 Explain how contractors should be selected, monitored and managed

2.1 Give an overview of the elements of a health and safety management

system and the benefits of having a formal/certified system

2.2 Discuss the main ingredients of health and safety management systems

that make it effective – general policy, organisation, arrangements

3.1 Describe the concept of health and safety culture and how it influences

performance

3.2 Summarise how health and safety culture at work can be improved

3.3 Summarise the human factors which positively or negatively influence

behaviour at work in a way that can affect health and safety

3.4 Explain the principles of the risk assessment process

3.4a Produce a risk assessment of a workplace which considers a wide range

of identified hazards (drawn from elements 5–11) and meets best practice

standards (‘suitable and sufficient’)

3.5 Discuss typical workplace changes that have significant health and safety

impacts and ways to minimise those impacts

3.6 Describe what to consider when developing and implementing a safe

system of work for general activities

3.7 Explain the role, function and operation of a permit-to-work system

3.8 Discuss typical emergency procedures (including training and testing) and

how to decide what level of first aid is needed in the workplace

4.1 Discuss common methods and indicators used to monitor the effectiveness

of management systems

4.2 Explain why and how incidents should be investigated, recorded and

reported

4.3 Explain what an audit is and why and how they are used to evaluate a

management system

4.4 Explain why and how regular reviews of health and safety performance

are needed

occupational health and safety · 2020. 4. 10. · national general certificate in occupational...

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